C.F.R. » Title 29 » CHAPTER XVII—OCCUPATIONAL SAFETY AND HEALTH ADMINISTRATION, DEPARTMENT OF LABOR › PART 1980—PROCEDURES FOR THE HANDLING OF RETALIATION COMPLAINTS UNDER SECTION 806 OF THE SARBANES-OXLEY ACT OF 2002, AS AMENDED › Subpart A—Complaints, Investigations, Findings and Preliminary Orders

29 C.F.R. § 1980.102

Obligations and prohibited acts

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(a) No covered person may discharge, demote, suspend, threaten, harass or in any other manner retaliate against, including, but not limited to, intimidating, threatening, restraining, coercing, blacklisting or disciplining, any employee with respect to the employee's compensation, terms, conditions, or privileges of employment because the employee, or any person acting pursuant to the employee's request, has engaged in any of the activities specified in paragraphs (b)(1) and (2) of this section.

(b) An employee is protected against retaliation (as described in paragraph (a) of this section) by a covered person for any lawful act done by the employee:

(1) To provide information, cause information to be provided, or otherwise assist in an investigation regarding any conduct which the employee reasonably believes constitutes a violation of 18 U.S.C. 1341, 1343, 1344, or 1348, any rule or regulation of the Securities and Exchange Commission, or any provision of Federal law relating to fraud against shareholders, when the information or assistance is provided to or the investigation is conducted by—

(i) A Federal regulatory or law enforcement agency;

(ii) Any Member of Congress or any committee of Congress; or

(iii) A person with supervisory authority over the employee (or such other person working for the employer who has the authority to investigate, discover, or terminate misconduct); or

(2) To file, cause to be filed, testify, participate in, or otherwise assist in a proceeding filed or about to be filed (with any knowledge of the employer) relating to an alleged violation of 18 U.S.C. 1341, 1343, 1344, or 1348, any rule or regulation of the Securities and Exchange Commission, or any provision of Federal law relating to fraud against shareholders.

Notes of Decisions
Cited in 4 cases (1 in the last 5 years), 2012–2022 · leading case: Lawson v. Fmr Co., Inc., 670 F.3d 61 (1st Cir. 2012).
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Lawson v. Fmr Co., Inc., 670 F.3d 61 (1st Cir. 2012). · cites it 2× “" 29 C.F.R. § 1980.102 (a) (2009). The regulations define "company representative" to mean "any officer, employee, contractor, subcontractor, or agent of a company," id.”
Bechtel v. Admin. Review Bd., United States Dep't of Labor, 710 F.3d 443 (2d Cir. 2013). “See 29 C.F.R. § 1980.102 (a) (setting out prohibited acts).”
Christopher Garvey v. Admin. Review Bd., 56 F.4th 110 (D.C. Cir. 2022). · cites it 2× “§ 1514A; 29 C.F.R. § 1980.102 (b). To achieve this end, the statute authorizes these employees to file complaints with the Secretary of Labor (“Secretary”) or pursue suits in federal district court if they are discharged or otherwise discriminated against for engaging in…”
Taylor v. Fed. Nat'l Mortg. Ass'n, 65 F. Supp. 3d 121 (D.D.C. 2014). · cites it 3× “The information or assistance must be provided to or the investigation must be conducted by a Federal regulatory or law enforcement agency, any Member or committee of Congress, or a person with supervisory authority over the employee (or such other person working for the…”
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