2013 Update: “Doing Well by Doing the Right Thing,” a Primer on SEC Whistleblower Law

On March 20, 2013, KMB partner David J. Marshall published an updated version of “Doing Well by Doing the Right Thing:  A Whistleblower’s Guide to the SEC Whistleblower Program and the New Rules that Can Lead to Rewards for Reporting Securities Violations.”  The new version of Marshall’s well-received primer on the SEC Whistleblower Program, updated with the help of KMB Associate Alison B. Asarnow and published for the Institute for Continuing Legal Education in Georgia's conference on Qui Tam, SEC and IRS Whistleblower Claims, contains essential information for SEC whistleblowers.  Among the topics discussed in the white paper are:

  • Definitions for “Voluntarily Provide” and “Original Information”;
  • Rules Designed to Support Internal Compliance Programs;
  • Information that Leads to Successful Enforcement;
  • Determining the Amount of an Award;
  • Anti-Retaliation Provisions;
  • Enforcement by the SEC;
  • Effect on Confidentiality Agreements; and
  • Things to Think About Before You Tip.