FREQUENTLY ASKED QUESTIONS

The CFTC's Whistleblower Program – which was created by the Dodd-Frank Act – allows for the payment of monetary awards to eligible whistleblowers, and provides anti-retaliation protections for whistleblowers.*


Click on any of the boxes below for answers to frequently asked questions.


Program Overview

What is the CFTC Whistleblower Program?

How does the CFTC Whistleblower Program differ from that of the Securities and Exchange Commission (SEC)?

How does someone become eligible for an award?

What does it mean to provide information "voluntarily"?

What is "original information"?

What rights do I have if my employer tries to stop me from providing a tip to the CFTC or retaliates against me after coming forward with information about a suspected violation?

Where do the funds for monetary awards come from?

Submit a Whistleblower Tip

Who can be a whistleblower eligible for an award?

How could my information lead to a successful enforcement action?

I work at a company with an internal compliance process. Do I have to report violations of the Commodity Exchange Act internally first to be eligible for a whistleblower award?

How do I submit a whistleblower tip to the CFTC?

Can I submit my whistleblower tip anonymously?

Will the CFTC keep my identity confidential?

Will you update me on the status of my TCR?

May I submit additional information after I have filed a TCR?

Orders Eligible for an Award

I have already submitted a tip to the CFTC. Why have I not heard back from the Commission?

Are awards granted in connection with only certain orders?

Apply for an Award

How much money could I receive as a whistleblower?

How do I apply for an award?

How will I know when to apply for an award?

I provided information to the CFTC before the enactment of the Dodd-Frank Act on July 21, 2010. Am I eligible for an award?

I work for a Futures Commission Merchant. Am I eligible for an award?

What constitutes a "Related Action"?

May I apply for an award anonymously?

Should I expect to receive updates on the status of my award claim?

What happens if the wrongdoer does not pay all of the sanctions ordered?

Preliminary Determinations

What factors does the CFTC consider in determining the amount of the award?

Can I request to review a copy of the materials considered in making the Preliminary Determination?

Can I request reconsideration of the Preliminary Determination?

What happens if I waive my request for the record or for reconsideration?

Final Orders/Award Determinations

Can I appeal an award decision?

If an award has been ordered, when should I expect payment to be made?

*The answers to these Frequently Asked Questions represent the views of the staff of the CFTC's Whistleblower Office. They are not CFTC rules or regulations, and the Commission has neither approved nor disapproved them. These answers are short general summaries of certain key features of the CFTC Whistleblower Program and do not purport to be complete or comprehensive. 
For detailed information about the program, please read Section 23 of the Commodity Exchange Act (7 U.S.C. § 26) and theWhistleblower Rules (17 C.F.R. §165).

*The answers to these Frequently Asked Questions represent the views of the staff of the CFTC's Whistleblower Office. They are not CFTC rules or regulations, and the Commission has neither approved nor disapproved them. These answers are short general summaries of certain key features of the CFTC Whistleblower Program and do not purport to be complete or comprehensive.
For detailed information about the program, please read Section 23 of the Commodity Exchange Act (7 U.S.C. § 26) and the Whistleblower Rules (17 C.F.R. §165).