Whistleblower

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  SEC Launches Whistleblower Webpage to Report Violations

  By Melanie Waddell, AdvisorOne  |  August 15, 2011

  With the official launch of its Whistleblower office on Friday, the SEC also launched a webpage that allows individuals to report a violation of the federal securities laws and apply for a financial award.

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  Drawbacks of Dodd-Frank Whistleblower Rules Debated at House Hearing

  By Melanie Waddell, AdvisorOne  |  May 12, 2011

  Members of the House Financial Services Subcommittee on Capital Markets debated Wednesday whether the Whistleblower rules enacted under Dodd-Frank would create “unintended consequences” and spark a slew of whistleblowers running to the SEC for financial gain.

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  SEC's Mary Schapiro Talks About Whistleblower Office, 12b-1: Exclusive Interview

  By Melanie Waddell, AdvisorOne  |  April 26, 2011

  Mary Schapiro recently talked with AdvisorOne about a broad range of issues, including how the agency’s new Whistleblower office is coming along, and an issue that remains near and dear to every advisor’s heart: revisions to mutual fund distribution fees under Rule 12b-1.