The United States’ (U.S’) Securities and Exchange Commission (SEC) on Friday announced three awards totaling more than $40 million to four whistleblowers, who provided information and assistance in three separate covered actions. In the first order, the commission issued an award of approximately $37 million to two joint whistleblowers, who provided key evidence that contributed […]
The United States’ Securities and Exchange Commission (SEC) has awarded nearly $5 million to a whistleblower, who provided critical information and assistance that led to the success of a covered action. A statement by the investment regulatory commission indicated that the whistleblower’s information helped it to more quickly and efficiently to bring an action that […]
The United States’ (U.S) Securities and Exchange Commission (SEC) has published proposed Exchange Act Rule 10c-1, which would require lenders of securities to provide the material terms of securities lending transactions to a registered national securities association, such as the Financial Industry Regulatory Authority. A statement by the commission on the regulatory initiative indicated that […]
The United States’ Securities and Exchange Commission (SEC) on Friday announced awards of approximately $40 million to two whistleblowers whose information and assistance contributed to the success of an enforcement action by it. According to a press statement issued by the commission, the first whistleblower, whose information caused the opening of the investigation and exposed […]