Posts tagged Disclosure Form.
Blogs
3 minute read
Before the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd Frank”) was enacted, whistleblower claims by registered representatives, including those arising pursuant to the Sarbanes-Oxley Act of 2002 (“SOX”) were subject to mandatory arbitration at FINRA. See FINRA Notice 12-21 (PDF). Dodd Frank changed that. Dodd Frank specifically amended SOX to provide that “[n]o dispute arbitration agreement shall be valid or enforceable, if the agreement requires arbitration of a dispute arising under this section.” In addition, SOX was also amended to ...
Blog Editors
Recent Updates
- Podcast: Non-Competes in 2026 - FTC Signals Major Policy Shift – Employment Law This Week
- In Lawsuits, Facts Matter. Employers That Embrace DEI Can Weather the Storm
- Video: NLRB Shifts Enforcement, DOL’s Non-Union Focus, and EEOC’s DEI Crackdown - Employment Law This Week
- After Ames, the Third Circuit Ends New Jersey’s Background Circumstances Rule for Reverse Discrimination Claims
- SEC Issues New Guidance Under Rule 701 for Employee Equity Compensation