FINRA Again Cautions Against Confidentiality Provisions Silencing Whistleblowers

As reported this week by Law360 , the Financial Industry Regulatory Authority recently issued a reminder warning firms against the use of confidentiality provisions in settlement agreements that prohibit or otherwise restrict customers or anyone else from communicating with the Securities Exchange Commission , FINRA, or any federal or state regulatory authority regarding a possible securities law violation. This is not the first warning on the use of confidentiality provisions in settlement agreements.



http://www.jdsupra.com/legalnews/finra-again-cautions-against-confidentia-99799/