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Hiding Behind the Veil of Ambiguity: Why Courts Should Apply the Plain Meaning of the Dodd-Frank Whistleblower Provisions

By Daniel Gilpin


(Excerpt) This Note argues that a plain reading of the statute—as championed by the Fifth Circuit—is correct in that an individual qualifies as a whistleblower only when she reports a violation to the SEC. Part I provides a history and background of modern antiretaliation whistleblower legislation. Part I also discusses the circumstances surrounding the passage of Dodd-Frank, the text of the whistleblower provisions, and the relevant SEC regulations. Part II outlines the recent case law on the issue of who qualifies as a Dodd-Frank whistleblower. Part III argues that only individuals who report to the SEC qualify as Dodd-Frank whistleblowers and addresses criticism of that reasoning

Topics: 78u-6, Statutory Ambiguity, Whistleblower, Dodd-Frank, Berman, Asadi, Sarbanes-Oxley, Chevron Deference
Publisher: St. John\u27s Law Scholarship Repository
Year: 2017
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