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Whistleblowing to the media is not protected by Sarbanes-Oxley

Holland & Knight LLP
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USA
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February 22 2010

The U.S. District Court for the Western District of Washington granted summary judgment on whistleblower claims brought by former compliance auditors of a global, public company

Ninth Circuit rules that SOX's whistleblower provisions do not protect leaks to the media

Holland & Knight LLP
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USA
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May 16 2011

On May 3, 2011, the Ninth Circuit Court of Appeals held that the whistleblower provisions in Section 806 of the Sarbanes-Oxley Act of 2002 (SOX) do not protect employee leaks to the media

SEC provides guidance on road show internet broadcasts by companies that are not registered broker-dealers

Holland & Knight LLP
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USA
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June 6 2011

On May 6, 2011, the staff of the Division of Trading and Markets of the SEC issued a no-action letter stating that it would not recommend enforcement action to the SEC against Roadshow Broadcast, LLC, or its officers, directors and employees under Section 15(a) of the Exchange Act if Roadshow Broadcast, for a flat service fee, transmits over the Internet, without registering as a broker or dealer, road shows that relate to public offerings of securities

NYSE issues guidance on use of social media as a disclosure tool

Holland & Knight LLP
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USA
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April 29 2013

On April 2, 2013, the SEC issued a report and press release making it clear that companies are permitted to use social media outlets to disclose

Search results

Whistleblowing to the media is not protected by Sarbanes-Oxley

Ninth Circuit rules that SOX's whistleblower provisions do not protect leaks to the media

SEC provides guidance on road show internet broadcasts by companies that are not registered broker-dealers

NYSE issues guidance on use of social media as a disclosure tool

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