{"id":1142,"date":"2021-06-28T14:40:18","date_gmt":"2021-06-28T14:40:18","guid":{"rendered":"http:\/\/localhost\/?p=1142"},"modified":"2021-06-28T14:40:18","modified_gmt":"2021-06-28T14:40:18","slug":"sec-sanctions-firm-for-policies-that-theoretically-could-have-curtailed-whistleblowers","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2021\/06\/28\/sec-sanctions-firm-for-policies-that-theoretically-could-have-curtailed-whistleblowers\/","title":{"rendered":"SEC Sanctions Firm for Policies that (Theoretically Could Have) Curtailed Whistleblowers"},"content":{"rendered":"<p>On June 23, 2021, the U.S. Securities and Exchange Commission (the \u201cCommission\u201d) entered an\u00a0<a href=\"https:\/\/www.sec.gov\/litigation\/admin\/2021\/34-92237.pdf\" target=\"_blank\">administrative order<\/a>\u00a0(the \u201cOrder\u201d) that, among other things, fined a broker-dealer (\u201cBD\u201d) $208,912 for alleged violations of\u00a0<a href=\"https:\/\/www.law.cornell.edu\/cfr\/text\/17\/240.21F-17\" target=\"_blank\">Rule 21F-17(a)<\/a>, which relates to individuals reporting possible securities laws violations to the Commission (<em>a.k.a.<\/em>, whistleblowers).<\/p>\n<p><strong>Practice Tip:\u00a0<\/strong>While the Order was entered against a broker-dealer, Rule 21F-17(a) applies to all entities subject to the Commission\u2019s jurisdiction (<em>e.g.<\/em>, public companies, broker-dealers, and investment managers). Indeed, the Commission has previously sanctioned public companies and investment advisers for violations of Rule 21F-17(a).<\/p>\n<p><a href=\"https:\/\/www.kilpatricktownsend.com\/Insights\/Alert\/2021\/6\/SEC-Sanctions-Firm-for-Policies-that-Theoretically-Could-Have-Curtailed-Whistleblowers\">Read more here<\/a> for\u00a0both a summary of the Order\u2019s findings, and take-aways for legal and compliance practitioners who support firms that are subject to the Commission\u2019s jurisdiction.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>On June 23, 2021, the U.S. Securities and Exchange Commission (the \u201cCommission\u201d) entered an\u00a0administrative order\u00a0(the \u201cOrder\u201d) that, among other things, fined a broker-dealer (\u201cBD\u201d) $208,912 for alleged violations of\u00a0Rule 21F-17(a), which relates to individuals reporting possible securities laws violations to the Commission (a.k.a., whistleblowers). Practice Tip:\u00a0While the Order was entered against a broker-dealer, Rule 21F-17(a) &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2021\/06\/28\/sec-sanctions-firm-for-policies-that-theoretically-could-have-curtailed-whistleblowers\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">SEC Sanctions Firm for Policies that (Theoretically Could Have) Curtailed Whistleblowers<\/span> <span class=\"meta-nav\">&rarr;<\/span><\/a><\/p>\n","protected":false},"author":94,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_exactmetrics_skip_tracking":false,"_exactmetrics_sitenote_active":false,"_exactmetrics_sitenote_note":"","_exactmetrics_sitenote_category":0,"footnotes":""},"categories":[23,24,22],"tags":[],"class_list":["post-1142","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement","category-standard-of-care"],"aioseo_notices":[],"aioseo_head":"\n\t\t<!-- All in One SEO 4.9.10 - aioseo.com -->\n\t<meta name=\"description\" content=\"On June 23, 2021, the U.S. Securities and Exchange Commission (the \u201cCommission\u201d) entered an administrative order (the \u201cOrder\u201d) that, among other things, fined a broker-dealer (\u201cBD\u201d) $208,912 for alleged violations of Rule 21F-17(a), which relates to individuals reporting possible securities laws violations to the Commission (a.k.a., whistleblowers). Practice Tip: While the Order was entered against a broker-dealer, Rule 21F-17(a)\" \/>\n\t<meta name=\"robots\" content=\"max-image-preview:large\" \/>\n\t<meta name=\"author\" content=\"Lauren C. Jackson\"\/>\n\t<link rel=\"canonical\" href=\"https:\/\/bdia.pli.edu\/index.php\/2021\/06\/28\/sec-sanctions-firm-for-policies-that-theoretically-could-have-curtailed-whistleblowers\/\" \/>\n\t<meta name=\"generator\" content=\"All in One SEO (AIOSEO) 4.9.10\" \/>\n\t\t<meta property=\"og:locale\" content=\"en_US\" \/>\n\t\t<meta property=\"og:site_name\" content=\"Legal Perspectives on Current Regulatory Developments for BDs and IAs |\" \/>\n\t\t<meta property=\"og:type\" content=\"article\" \/>\n\t\t<meta property=\"og:title\" content=\"SEC Sanctions Firm for Policies that (Theoretically Could Have) Curtailed Whistleblowers | Legal Perspectives on Current Regulatory Developments for BDs and IAs\" \/>\n\t\t<meta property=\"og:description\" content=\"On June 23, 2021, the U.S. Securities and Exchange Commission (the \u201cCommission\u201d) entered an administrative order (the \u201cOrder\u201d) that, among other things, fined a broker-dealer (\u201cBD\u201d) $208,912 for alleged violations of Rule 21F-17(a), which relates to individuals reporting possible securities laws violations to the Commission (a.k.a., whistleblowers). Practice Tip: While the Order was entered against a broker-dealer, Rule 21F-17(a)\" \/>\n\t\t<meta property=\"og:url\" content=\"https:\/\/bdia.pli.edu\/index.php\/2021\/06\/28\/sec-sanctions-firm-for-policies-that-theoretically-could-have-curtailed-whistleblowers\/\" \/>\n\t\t<meta property=\"article:published_time\" content=\"2021-06-28T14:40:18+00:00\" \/>\n\t\t<meta property=\"article:modified_time\" content=\"2021-06-28T14:40:18+00:00\" \/>\n\t\t<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n\t\t<meta name=\"twitter:title\" content=\"SEC Sanctions Firm for Policies that (Theoretically Could Have) Curtailed Whistleblowers | Legal Perspectives on Current Regulatory Developments for BDs and IAs\" \/>\n\t\t<meta name=\"twitter:description\" content=\"On June 23, 2021, the U.S. Securities and Exchange Commission (the \u201cCommission\u201d) entered an administrative order (the \u201cOrder\u201d) that, among other things, fined a broker-dealer (\u201cBD\u201d) $208,912 for alleged violations of Rule 21F-17(a), which relates to individuals reporting possible securities laws violations to the Commission (a.k.a., whistleblowers). 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Jackson"}},{"@type":"WebPage","@id":"https:\/\/bdia.pli.edu\/index.php\/2021\/06\/28\/sec-sanctions-firm-for-policies-that-theoretically-could-have-curtailed-whistleblowers\/#webpage","url":"https:\/\/bdia.pli.edu\/index.php\/2021\/06\/28\/sec-sanctions-firm-for-policies-that-theoretically-could-have-curtailed-whistleblowers\/","name":"SEC Sanctions Firm for Policies that (Theoretically Could Have) Curtailed Whistleblowers | Legal Perspectives on Current Regulatory Developments for BDs and IAs","description":"On June 23, 2021, the U.S. Securities and Exchange Commission (the \u201cCommission\u201d) entered an administrative order (the \u201cOrder\u201d) that, among other things, fined a broker-dealer (\u201cBD\u201d) $208,912 for alleged violations of Rule 21F-17(a), which relates to individuals reporting possible securities laws violations to the Commission (a.k.a., whistleblowers). Practice Tip: While the Order was entered against a broker-dealer, Rule 21F-17(a)","inLanguage":"en-US","isPartOf":{"@id":"https:\/\/bdia.pli.edu\/#website"},"breadcrumb":{"@id":"https:\/\/bdia.pli.edu\/index.php\/2021\/06\/28\/sec-sanctions-firm-for-policies-that-theoretically-could-have-curtailed-whistleblowers\/#breadcrumblist"},"author":{"@id":"https:\/\/bdia.pli.edu\/index.php\/author\/lauren-c-jackson\/#author"},"creator":{"@id":"https:\/\/bdia.pli.edu\/index.php\/author\/lauren-c-jackson\/#author"},"datePublished":"2021-06-28T14:40:18+00:00","dateModified":"2021-06-28T14:40:18+00:00"},{"@type":"WebSite","@id":"https:\/\/bdia.pli.edu\/#website","url":"https:\/\/bdia.pli.edu\/","name":"Legal Perspectives on Current Regulatory Developments for BDs and IAs","inLanguage":"en-US","publisher":{"@id":"https:\/\/bdia.pli.edu\/#organization"}}]},"og:locale":"en_US","og:site_name":"Legal Perspectives on Current Regulatory Developments for BDs and IAs |","og:type":"article","og:title":"SEC Sanctions Firm for Policies that (Theoretically Could Have) Curtailed Whistleblowers | Legal Perspectives on Current Regulatory Developments for BDs and IAs","og:description":"On June 23, 2021, the U.S. Securities and Exchange Commission (the \u201cCommission\u201d) entered an administrative order (the \u201cOrder\u201d) that, among other things, fined a broker-dealer (\u201cBD\u201d) $208,912 for alleged violations of Rule 21F-17(a), which relates to individuals reporting possible securities laws violations to the Commission (a.k.a., whistleblowers). Practice Tip: While the Order was entered against a broker-dealer, Rule 21F-17(a)","og:url":"https:\/\/bdia.pli.edu\/index.php\/2021\/06\/28\/sec-sanctions-firm-for-policies-that-theoretically-could-have-curtailed-whistleblowers\/","article:published_time":"2021-06-28T14:40:18+00:00","article:modified_time":"2021-06-28T14:40:18+00:00","twitter:card":"summary_large_image","twitter:title":"SEC Sanctions Firm for Policies that (Theoretically Could Have) Curtailed Whistleblowers | Legal Perspectives on Current Regulatory Developments for BDs and IAs","twitter:description":"On June 23, 2021, the U.S. Securities and Exchange Commission (the \u201cCommission\u201d) entered an administrative order (the \u201cOrder\u201d) that, among other things, fined a broker-dealer (\u201cBD\u201d) $208,912 for alleged violations of Rule 21F-17(a), which relates to individuals reporting possible securities laws violations to the Commission (a.k.a., whistleblowers). Practice Tip: While the Order was entered against a broker-dealer, Rule 21F-17(a)"},"aioseo_meta_data":{"post_id":"1142","title":null,"description":null,"keywords":null,"keyphrases":null,"primary_term":null,"canonical_url":null,"og_title":null,"og_description":null,"og_object_type":"default","og_image_type":"default","og_image_url":null,"og_image_width":null,"og_image_height":null,"og_image_custom_url":null,"og_image_custom_fields":null,"og_video":null,"og_custom_url":null,"og_article_section":null,"og_article_tags":null,"twitter_use_og":false,"twitter_card":"default","twitter_image_type":"default","twitter_image_url":null,"twitter_image_custom_url":null,"twitter_image_custom_fields":null,"twitter_title":null,"twitter_description":null,"schema":{"blockGraphs":[],"customGraphs":[],"default":{"data":{"Article":[],"Course":[],"Dataset":[],"FAQPage":[],"Movie":[],"Person":[],"Product":[],"ProductReview":[],"Car":[],"Recipe":[],"Service":[],"SoftwareApplication":[],"WebPage":[]},"graphName":"","isEnabled":true},"graphs":[]},"schema_type":"default","schema_type_options":null,"pillar_content":false,"robots_default":true,"robots_noindex":false,"robots_noarchive":false,"robots_nosnippet":false,"robots_nofollow":false,"robots_noimageindex":false,"robots_noodp":false,"robots_notranslate":false,"robots_max_snippet":null,"robots_max_videopreview":null,"robots_max_imagepreview":"large","priority":null,"frequency":null,"local_seo":null,"breadcrumb_settings":null,"limit_modified_date":false,"ai":null,"created":"2024-11-01 17:49:34","updated":"2025-10-11 03:46:07","seo_analyzer_scan_date":null},"aioseo_breadcrumb":"<div class=\"aioseo-breadcrumbs\"><span class=\"aioseo-breadcrumb\">\n\t\t\t<a href=\"https:\/\/bdia.pli.edu\" title=\"Home\">Home<\/a>\n\t\t<\/span><span class=\"aioseo-breadcrumb-separator\">&raquo;<\/span><span class=\"aioseo-breadcrumb\">\n\t\t\t<a href=\"https:\/\/bdia.pli.edu\/index.php\/category\/compliance\/\" title=\"Compliance\">Compliance<\/a>\n\t\t<\/span><span class=\"aioseo-breadcrumb-separator\">&raquo;<\/span><span class=\"aioseo-breadcrumb\">\n\t\t\tSEC Sanctions Firm for Policies that (Theoretically Could Have) Curtailed Whistleblowers\n\t\t<\/span><\/div>","aioseo_breadcrumb_json":[{"label":"Home","link":"https:\/\/bdia.pli.edu"},{"label":"Compliance","link":"https:\/\/bdia.pli.edu\/index.php\/category\/compliance\/"},{"label":"SEC Sanctions Firm for Policies that (Theoretically Could Have) Curtailed Whistleblowers","link":"https:\/\/bdia.pli.edu\/index.php\/2021\/06\/28\/sec-sanctions-firm-for-policies-that-theoretically-could-have-curtailed-whistleblowers\/"}],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1142","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/users\/94"}],"replies":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/comments?post=1142"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1142\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1142"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1142"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1142"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}