Cover: For Whom the Whistle Blows

For Whom the Whistle Blows

Advancing Corporate Compliance and Integrity Efforts in the Era of Dodd-Frank

Published Sep 12, 2011

by Michael D. Greenberg


Download eBook for Free

Full Document

FormatFile SizeNotes
PDF file 0.6 MB

Use Adobe Acrobat Reader version 10 or higher for the best experience.

Summary Only

FormatFile SizeNotes
PDF file 0.2 MB

Use Adobe Acrobat Reader version 10 or higher for the best experience.


Purchase Print Copy

 Format Price
Add to Cart Paperback76 pages $25.00

The Dodd-Frank Wall Street Reform and Consumer Protection Act, signed into law in July 2010, includes a new mechanism for offering financial awards to internal corporate "whistleblowers" who report instances of fraud to the U.S. Securities and Exchange Commission (SEC). Final whistleblower rules enacted by the SEC under the statute have been controversial, particularly in neglecting to require that corporate insiders make use internal corporate reporting channels as a prerequisite to eligibility for any subsequent bounty under Dodd-Frank. On May 11, 2011, RAND convened thought leaders and stakeholders from the government, industry, academic, and nonprofit sectors to discuss the potential impact of the Dodd-Frank whistleblower rules on corporations, the importance of internal compliance and reporting processes both for corporations and the regulatory community, and steps that might be taken to strengthen internal compliance and reporting in the era of Dodd-Frank. These proceedings summarize key issues and topics from the symposium and identify major points of agreement and disagreement among the participants. The proceedings also feature three invited papers presented at the symposium.

This report was funded with pooled resources from the RAND Center for Corporate Ethics and Governance, which is part of the RAND Institute for Civil Justice, a unit of the RAND Corporation.

This report is part of the RAND conference proceeding series. RAND conference proceedings present a collection of papers delivered at a conference or a summary of the conference.

This document and trademark(s) contained herein are protected by law. This representation of RAND intellectual property is provided for noncommercial use only. Unauthorized posting of this publication online is prohibited; linking directly to this product page is encouraged. Permission is required from RAND to reproduce, or reuse in another form, any of its research documents for commercial purposes. For information on reprint and reuse permissions, please visit

RAND is a nonprofit institution that helps improve policy and decisionmaking through research and analysis. RAND's publications do not necessarily reflect the opinions of its research clients and sponsors.