A whistleblower eligible for an award can be any individual who sends the Commission a Form TCR containing information about a potential violation of the Commodity Exchange Act. Examples range from a corporate officer or insider, to a trader or market observer, to an investor or fraud victim. A company or another entity is not eligible to be a whistleblower. Rules 165.2(p), 165.3

However, not every person who files a TCR will be eligible for an award. To be eligible, a whistleblower must "voluntarily" provide the Commission with "original information" about a violation. Those terms are explained in these FAQs. Also, certain persons – including certain government and self-regulatory personnel, and persons convicted of a crime related to the conduct at issue in the whistleblower matter – are ineligible for an award. Rules 165.5(a), 165.6

Your information could lead the Commission to open a new examination or investigation, re-open a previously closed investigation or pursue a new line of inquiry in connection with an ongoing investigation, and the Commission could bring a successful enforcement action based at least in part on the information you provided. Additionally, your information could relate to an ongoing examination or investigation and significantly contribute to the success of an enforcement action. If your information leads to a successful enforcement action you may be eligible for an award. Rule 165.2(i)

You do not have to report internally to be eligible for a whistleblower award, and you may submit your information directly to the Commission at any time.

If you choose to report internally first, your information will be deemed to be submitted to the Commission on the date you reported it internally if you also report it to the Commission within 180 days of that date. Under these circumstances, the Commission will consider your place in line for determining whether your information is "original information" to be the date you reported it internally. In addition, if your company conducts an investigation and reports the results to the Commission, you may benefit from the information that the company's investigation reveals when the Commission considers whether you should receive an award and what percentage you should receive. Rule 165.2(i)(3)

Also, the fact that you reported your information internally, and the extent to which you helped your company uncover a violation, will be considered as factors that may increase the size of any award that you are eligible to receive. Rule 165.9(b)(4)

Please refer to the Things To Know section of this site for more information.

To become eligible for a whistleblower award, you must complete and submit a Form TCR electronically, by mail, or by facsimile.

You may file a Form TCR electronically by clicking on the Submit a Tip button at the top of the page, or by clicking on the "File a Tip or Complaint" button on the right-hand side of the CFTC's homepage, www.cftc.gov, and selecting the option for the Whistleblower Program.

You may also mail or fax a printed Form TCR to:

Commodity Futures Trading Commission
Whistleblower Office
1155 21st Street, NW
Washington, DC 20581

Fax: (202) 418-5975

Please refer to the Things To Know section of this site for more information.

Yes. You can file your Form TCR anonymously, with or without a lawyer's help. Because the Commission may need to contact you for more information, and because ongoing cooperation while the Commission is investigating a matter is a factor in determining any award amount, you should provide some means of contact, such as an email address or telephone number. Also, there are detailed requirements for making an award claim anonymously. Rules 165.3(c), 165.4(b), 165.7(c)

If you have any questions about filing anonymously, the Commission strongly encourages you to contact the Whistleblower Office by sending an email to [email protected] or calling the Whistleblower Hotline at 1-866-873-5675 before you file.

Whether or not you seek anonymity, the Commission is committed to protecting your identity. For example, the Commission will not disclose your identity in response to requests under the Freedom of Information Act. As a general rule, the Commission treats information learned during the course of an investigation – including the identity of sources – as non-public and confidential.

There are, however, limits on the Commission's ability to shield your identity. For example, in an administrative or court proceeding, the Commission may be required to produce documents or other information which would reveal your identity. In addition, as part of the Commission's ongoing investigatory responsibilities, the Commission may use information you have provided during the course of an investigation. In appropriate circumstances, the Commission may also provide information, subject to confidentiality requirements, to other governmental or regulatory entities. Rule 165.4

No. Because all the Commission's ongoing investigations are confidential, we cannot confirm or deny the existence of an investigation, inform you whether an investigation has been opened or closed, or otherwise provide you with updates on the status of your complaint.

Yes. If you wish to provide us with additional information, you may do so via email, mail or fax. Please include your confirmation number (TCR number) with any additional information you submit.