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Notice No. 2012-001

  • January 31, 2012

    First Notices of Covered Actions to be Issued on February 1, 2012

    The Commission’s first Notices of Covered Actions – for judgments issued between July 21, 2010 and September 30, 2011 – will be posted on Wednesday, February 1, 2012.

    Pursuant to the Commodity Futures Trading Commission’s Whistleblower Rules, 17 C.F.R. § 165, the Commission will post Notices of Covered Actions for each Commission enforcement action where a final judgment or order – by itself or together with prior judgments or orders in the same action issued after July 21, 2010 – results in monetary sanctions exceeding $1 million.  Individuals will have 90 days from the date of a notice to submit an award claim for that action to the Commission’s Whistleblower Office.  Individuals who voluntarily provided the Commission with original information after July 21, 2010 that led to the successful enforcement of a Covered Action are eligible to claim a whistleblower award.

    To make an award claim, you must submit a Form WB-APP by mail or facsimile to the following address:

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

    Please note that by posting a Notice of Covered Action, the Commission has not made any determination that a whistleblower tip, complaint or referral led the Commission to open an investigation or file an enforcement action, or that an award to a whistleblower will be paid in connection with the action.

    Please also note that persons who submitted original information after the Dodd-Frank Act was enacted (July 21, 2010), but before the final Whistleblower Rules became effective (October 24, 2011), may be eligible for an award, provided that they comply with the Commission’s procedures for submitting a whistleblower tip by no later than February 21, 2012. All whistleblower submissions received after October 24, 2011 must comply with the same procedures.

    Please email any questions about this Notice to the Whistleblower Office at whistleblower@cftc.gov.

    Last Updated: January 31, 2012



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