Whistleblower Provisions Regulation - Comment Letter - North American Securities Administrators Association - March 23, 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 23, 2011

From the comment letter:

  • "NASAA believes that in the case of referrals from a state securities regulator to the SEC, a different formula for calculating the deadline for the whistleblower to submit Forms TCR and WB-DEC to the Commission is needed."
  • "To avoid this arbitrary distinction in the treatment of whistleblowers who provide information to state securities regulators, NASAA recommends that the Commission modify the proposed language of Rule 21F-4(b)(7)."


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