Whistleblower Provisions Regulation - Comment Letter - National Whistleblowers Center - March 7, 2011

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Gavel.png FINAL RULE: This page refers to the proposed rulemaking on whistleblower provisions. The CFTC final rule was issued at its August 4, 2011 open meeting. The SEC final rule was issued at its May 25, 2011 open meeting.
Dodd-Frank Timeline, Whistleblower Provisions, CFTC
Final Rule Issue Effective Date Proposed Amendment
August 4, 2011 October 24, 2011 August 30, 2016

SEC Whistleblower Provisions
March 7, 2011

From the comment letter:

  • "Employees who work for compliance departments, from the chief compliance offcer all the way down to a line-level auditor, must be fully protected against any form of retaliation for aggressively performing their functions, regardless the impact on a company's bottom line.
  • Employees who provide information to compliance officials must be completely free from any form of retaliation or discrimination.
  • All employees in regulated industries who perform compliance functions must be fully protected under the Dodd-Frank Act and permitted to file appropriate claims."


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