Process

Commodity Futures Trading Commission Whistleblower Program submissions can be made by mailing or faxing a "tip, complaint, or referral form" (Form TCR) to:

Commodity Futures Trading Commission (CFTC)
Whistleblower Office
1155 21st Street, NW
Washington, DC 20581
Fax: (202) 418-5975

  • A whistleblower may submit information anonymously. However, an anonymous whistleblower must provide some means of contact (such as a lawyer), and must submit a Form TCR, signed under penalty of perjury.
     
  • In order to maintain his/her eligibility for an award and order to receive an award, the whistleblower will need to be identified to the Commission for a final eligibility determination.
     
  • Whistleblower awards shall total between 10 and 30 percent of the monetary sanctions collected.  The Commission shall determine the amount of the award based on criteria found in the Dodd-Frank Act and the final CFTC Rules.
     
  • A whistleblower may appeal the Commission’s decision to grant or deny an award, and/or its decision as to the amount of an award, to the appropriate U.S. Court of Appeals.
     
  • The final regulations prohibit a whistleblower’s employer from engaging in retaliation against a whistleblower for provided information to the Commission, or assisting in an investigation in any judicial or administrative action of the Commission based upon information the whistleblower has provided.
     

Eligibility for CFTC Whistleblower Awards

  • To be considered for an award, a whistleblower must provide the Commodity Futures Trading Commission with original information derived from the whistleblower’s independent knowledge and not known to the Commission from any other source such as a press report, a government report, or a court case, unless the whistleblower is the original source of that information.
     
  • To be eligible for an award, the whistleblower cannot be someone who has legal compliance, audit, supervisory, or governance responsibilities.
     
  • To be eligible for an award, a whistleblower must submit a Form TCR, signed under penalty of perjury, and must comply with stated procedures for submitting information.
     
  • Some persons are ineligible to become whistleblowers, including certain employees of listed government, law enforcement, and regulatory agencies; a person convicted of a criminal violation related to the underlying judicial or administrative actions, and persons who knowingly and willfully make certain false, fictitious, or fraudulent statements or representations regarding a whistleblower matter.
     
  • To be eligible for an award, the whistleblower’s voluntary submission must lead to the successful resolution of a Commission covered judicial or administrative action, or successful enforcement of a related action leading to a total monetary recovery in excess of $1,000,000.
  • Mail or fax a completed "whistleblower application for award form" (Form WB-APP) to the address above.
     
  • There are strict time limits for claiming an award. For eligible Commodity Futures Trading Commission actions, your Form WB-APP must be received within 90 calendar days following the date that the CFTC posts a “Notice of Covered Action” on its Whistleblower Notices page. For related actions, Form WB-APP must be received within 90 days following the date of a final judgment in the related action.
     
  • You can receive alerts about Notices of Covered Actions by subscribing to the CFTC''s email subscription service or RSS Feed.