’34 Act/Other

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SEC (Still) Conducting Whistleblower Impediment Sweeps

Yesterday, the SEC announced it had charged seven companies with violating ’34 Act Rule 21F-17(a) by using employment and separation agreements to impede potential whistleblowers from reporting misconduct to the SEC. Here are four bullets about this sweep – and the “bottom line” about what you need to do now: Bottom Line: If you haven’t battle-tested your employment and separation agreements against the SEC’s line …

Broc Romanek September 10, 2024September 10, 2024

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