6.1 Overview of US whistleblower statutes
The US legal system contains a multitude of state and federal laws that protect individuals who report potential misconduct (whistleblowers) from retaliation for making the report.[2] Some of these laws protect specific classes of individuals, such as truck drivers,[3] nuclear engineers,[4] pilots[5] and miners.[6] Others relate to specific conduct, such as motor vehicle safety issues,[7] violations of the Clean Air Act,[8] violations of the Clean Water Act,[9] anti-money laundering violations[10] and violations of the Affordable Care Act.[11] Each of these laws is structured differently. As a result, the precise steps that a whistleblower must take to file a report, whether the whistleblower has a private right of action and the scope of protection may vary depending on the statutory basis for the whistleblower claim.[12]
6.1.1 The SEC whistleblower regimes
US securities laws protect whistleblowers who report potential misconduct by entities and individuals subject to regulation by the US Securities and Exchange Commission (SEC). This protection was originally created by the Sarbanes-Oxley Act (SOX) in 2002. It was then strengthened and expanded by the Dodd-Frank Act (DFA) in 2009, which created the Whistleblower Protection Program (the Program), pursuant to which individuals who voluntarily report ‘original information’[13] about potential violations of federal securities laws are protected from retaliation and entitled to a...
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