Navigating the SEC and CFTC Whistleblowing Programs

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SKU: TORT5700 Back to Course Listings
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Connecticut MCLE
Accreditation Info

United Institute for Continuing Legal Education is an accredited sponsor of CLE across the United States. To view our full accreditation details please .

All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

Whistleblower programs are not a particularly well known or understood feature of the various entities which have them, including the SEC, IRS and CFTC. This CLE course will present an overview of these programs including eligibility, anonymity and the whistleblower process. The course will review the steps needed to file a claim with each agency and explain how claims are analyzed.

The course will then delve deeper into the various ambiguities in the whistleblower awards process and provide insight into what factors are considered when deciding award amounts. The course will provide a comprehensive understanding of the legal and practical aspects and offer a step-by-step overview to successfully navigate programs in all the different agencies. Real-world case studies to explain the application of these programs will be presented.

The course will address:

  • Basics of CFTC, SEC, and IRS whistleblower program
  • Eligibility and anonymity
  • Filing process for claims
  • Analysis of potential whistleblower claim
  • Awards process and its ambiguities
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