Since its inception in 1934, the SEC has continued to issue a comprehensive report on its...Coffey, William JIlliano, GaryCpa Journal
On November 15, 2021, the SEC published its annual report to Congress covering the period from October 1, 2020 to September 30, 2021. The report was prepared by the SEC’s Office of the Whistleblower to summarize its whistleblower bounty program, report on the program’s recent dramatic ...
The Securities and Exchange Commission, in its annual report to Congress, indicated it fielded 5,212 whistleblower tips in fiscal year 2019, down 1 percent from the record of 5,282 in FY2018. THIS IS MEMBERS-ONLY CONTENT.To continue reading, choose one of the options below....
According to the SEC Whistleblower Office’s 2023 Annual Report to Congress, the office received more than 18,000 tips in the fiscal year, nearly 50% more than the previous record set in FY 2022. The SEC also issued a single award for nearly $279 million—the largest whistleblower award ...
Burning Rock may also make written or oral forward-looking statements in its periodic reports to the SEC, in its annual report to shareholders, in press releases and other written materials and in oral statements made by its officers, directors or employees to third parties. Statements that are...
[25]Cf.Report to Congress on Assigned Credit Ratings issued by SEC staff in December 2012, available athttps://www.sec.gov/news/studies/2012/assigned-credit-ratings-study.pdf. The report, mandated by Section 939F of the Dodd-Frank Act, includes a study of matters such as...
SEC Releases Whistleblower ReportLast month, the Securities & Exchange Commission (SEC) released its annual report on the Office of the Whistleblower (OWB), "2013 Annual Report to Congress on the Dodd-Frank Whistleblower Program." The OWB was created under the Dodd-Frank Act, and the program...
Burning Rock may also make written or oral forward-looking statements in its periodic reports to the SEC, in its annual report to shareholders, in press releases and other written materials and in oral statements made by its officers, directors or employees to third parties. Statements that are...
clearly define the problem and consider all of the solutions. Commissioner Peirce stated that her experience on Capitol Hill, and especially during the financial crisis, showed her the importance of regulator accountability to Congress. She looked at what led to the financial crisis, and the role ...
Soon, Congress passed the Securities Act of 1933 and theSecurities Exchange Act of 1934, which created the SEC. The acts aimed to give investors and markets more reliable information about publicly traded companies and transparent rules to bolster trust in securities trading. President Franklin D. ...