Whistleblower Program

The Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) was enacted into law on July 21, 2010. Section 748 of the Dodd-Frank Act establishes the Commission’s whistleblower program by adding Section 23 to the Commodity Exchange Act (CEA). The final Rules issued by the Commission to implement the program became effective on October 24, 2011. The essential features of our whistleblower program are as follows:

• Subject to certain limitations, the Commission will pay awards to eligible whistleblowers who voluntarily provide original information to the Commission about violations of the CEA that lead to the successful enforcement of a Commission action that results in monetary sanctions exceeding $1,000,000 or a related action. The total amount of an award will be between 10 to 30 percent of the monetary sanctions collected.

• The Commission will determine whether to grant an award, and the award amount, based on criteria found in the Dodd-Frank Act and the final Rules. The Commission may exercise discretion in determining an award amount based on such factors as the significance of the information, the degree of assistance provided by a whistleblower, and the programmatic interest of the Commission.

• 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.

• Whistleblowers may receive awards based upon violations that occurred before the Dodd-Frank Act was enacted.

• Persons who submitted original information after the Dodd-Frank Act was enacted (July 21, 2010), but before the final 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.

• A whistleblower who has submitted information after July 16, 2011 may have a private cause of action for employment retaliation against whistleblower activities. Ineligibility to receive a whistleblower award does not preclude the application of anti-retaliation protections.

• Some persons are ineligible to become whistleblowers, including certain government employees, persons convicted of a criminal violation related to certain judicial or administrative actions, and persons who knowingly and willfully make certain false, fictitious, or fraudulent statements or representations regarding a whistleblower matter.

• A whistleblower may submit information anonymously. However, an anonymous whistleblower should provide some means of contact in order to maintain his/her eligibility for an award. In order to receive an award, the whistleblower will need to be identified to the Commission for a final eligibility determination.

How to Submit a Whistleblower Tip

To qualify for an award, you must submit your information by mailing or faxing a completed Form TCR to:

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

Please note that we are not currently accepting forms electronically.

How to Claim an Award

Once a "Notice of Covered Action" is posted on this webpage, individuals will have 90 calendar days to apply for an award by submitting a completed Form WB-APP to:

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

Questions

Questions about our program may be sent to whistleblower@cftc.gov.

Your Privacy

The Commission is soliciting information for the whistleblower program to enable the Commission to determine the individual's eligibility for payment of an award and to investigate and prosecute violations of the Commodity Exchange Act and Commission regulations. The information provided may be disclosed to Federal, state, local, or foreign agencies or other authorities responsible for investigating, prosecuting, enforcing, or implementing laws, rules, or regulations implicated by the information consistent with the confidentiality requirements set forth therein, including pursuant to Section 23 of the Commodity Exchange Act and Part 165 of the Commission’s regulations thereunder. The information will be maintained and additional disclosures may be made in accordance with System of Records Notices CFTC-10, "Investigatory Records" (exempted), and CFTC-16, "Enforcement Case Files." Furnishing the information is voluntary. However, if an individual is providing information for the whistleblower award program, not providing required information may result in the individual not being eligible for award consideration.