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Information certainly is powerful and we take seriously our commitment to provide the public at large with resources that inform and guide our area of concentration. To that end, we include such important topics as bulletins on areas of the federal securities laws, commentary and case law relating to the SEC whistleblower program, other federal and state whistleblower programs, international whistleblower developments and critical employment protections.

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Interpretation of the SEC’s Whistleblower Rules Under Section 21F of the Securities Exchange Act of 1934

Securities and Exchange Commission, Release No. 34-75592, Interpretation of the SEC’s Whistleblower Rules Under Section 21F of the Securities Exchange Act of 1934 (Aug. 7, 2015)

Ontario Securities Commission Whistleblower Roundtable Transcript

Investor Bulletin: How Harmed Investors May Recover Money

“The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about how they may be able to recover money if they have been harmed by a violation of the federal securities laws.”

INVESTOR ALERT: MARIJUANA-RELATED INVESTMENTS

“The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about potential risks involving investments in marijuana-related companies.” This alert highlights to potential whistleblowers that while marijuana is becoming legalized in some areas and decriminalized in others, investing in marijuana related companies could still be a violation of securities...

Mutual Fund Fees and Expenses

“The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to explain some of the most common mutual fund fees and expenses. As a general introduction to mutual fund fees and expenses, this Investor Bulletin does not identify all of the fees that you may pay to buy and own shares in...

INVESTOR ALERT: BEWARE OF FALSE CLAIMS OF SEC REGISTRATION

“The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about potentially fraudulent investment schemes that involve individuals or firms misrepresenting that they are registered with the SEC. Investors should be careful to check the background, including license and registration status, of any person who tries to sell them...

How to Open a Brokerage Account

“The Securities and Exchange Commission’s (SEC) Office of Investor Education and Advocacy is issuing this Investor Bulletin to help you understand what to expect when opening a brokerage account, including what information you will need to provide, what decisions you will be asked to make, and what questions you should ask your broker.”

Microcap Stock: A Guide for Investors

“Information about “microcap stocks”—low priced stocks issued by the smallest companies—may be difficult to find. When reliable information is scarce, fraudsters can easily spread false information about microcap companies, making profits while creating losses for unsuspecting investors.” This publication may be helpful to potential whistleblowers that are concerned about their employer’s transactions involving microcap stocks.

Phishing Fraud: How to Avoid Getting Fried by Phony Phishermen

“This alert describes how to avoid “phishing scams,” which involve the use of fraudulent emails and copy-cat websites to trick you into revealing valuable personal information, including account numbers and the login IDs and passwords you use to access online financial services providers. Be aware that fraudsters who collect this information then use it to...

Accredited Investors

“The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate individual investors about what it means to be an “accredited investor.””

Advertising for Unregistered Securities Offerings

“The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to educate individual investors about advertisements and announcements for investment opportunities in certain securities offerings. General advertising is permitted in certain offerings as a result of rules adopted by the SEC as required by the Jumpstart Our Business Startups (JOBS) Act.” This...

What are High-Yield Corporate Bonds

“The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate individual investors about high-yield corporate bonds, also called “junk bonds.” While they generally offer a higher yield than investment-grade bonds, high-yield bonds also carry a higher risk of default.”

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Federal and State Whistleblower Award Programs

Securities and Exchange Commission, Release No. 34-75592, Interpretation of the SEC’s Whistleblower Rules Under Section 21F of the Securities Exchange Act of 1934 (Aug. 7, 2015)

Federal and State Employment Protection Statutes

Securities and Exchange Commission, Release No. 34-75592, Interpretation of the SEC’s Whistleblower Rules Under Section 21F of the Securities Exchange Act of 1934 (Aug. 7, 2015)

Interpretation of the SEC’s Whistleblower Rules Under Section 21F of the Securities Exchange Act of 1934

Securities and Exchange Commission, Release No. 34-75592, Interpretation of the SEC’s Whistleblower Rules Under Section 21F of the Securities Exchange Act of 1934 (Aug. 7, 2015)

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