The Commission's whistleblower program was created by the Dodd-Frank Act, and it provides monetary awards to persons who voluntarily report violations of the Commodity Exchange Act (CEA) if the information leads the Commission to bring an action, or if the information significantly contributes to the success of a Commission action, that results in more than $1 million in monetary sanctions. The Commission can also pay awards based on monetary sanctions collected by other authorities in actions that are related to a successful CFTC action and are based on information provided by a CFTC whistleblower. The Dodd-Frank whistleblower provisions also prohibit any action taken to impede an individual from communicating directly with the Commission's staff about a possible violation of the CEA, as well as retaliation by employers against employees who come forward with information about possible violations. The CFTC has authority under the CEA to enforce the anti-retaliation provisions against offending employers. The Dodd-Frank whistleblower provisions also include certain confidentiality protections to whistleblowers.

Following the amendments to the whistleblower rules that became effective July 31, 2017, the CFTC's award claims review process largely mirrors that of the SEC's Whistleblower Program. For example, as at the SEC, the CFTC's Claims Review Staff has responsibility for issuing a Preliminary Determination, setting forth a preliminary assessment as to whether an award claim should be granted or denied. As under the SEC's program, a whistleblower has an opportunity to request to view the record and contest the Preliminary Determination before the Commission issues a Final Determination. Rules 165.7(e)-(l); 165.15(a)(2)

To be eligible for a whistleblower award, an individual (or group of individuals) must first submit a Form TCR  – Tip, Complaint, or Referral. The Form TCR may be submitted electronically via the website, or by fax or mail.

To provide information voluntarily, you must give information to the Commission before the Commission sends you, your lawyer, or your employer a request, inquiry or demand for the information. You also cannot provide information to the Commission "voluntarily" if you have already received a request, inquiry, or demand from Congress, another regulatory or enforcement agency or a self-regulatory organization (such as the National Futures Association). On the other hand, if you provided information to any such organization before receiving a request, inquiry, or demand, your submission to the Commission will also be considered voluntary. Rule 165.2(o)

"Original information" is information not already known to the Commission that is derived from (i) your independent knowledge (information in your possession that is not generally known or available to the public), or (ii) your independent analysis (your examination and evaluation of information that may be publicly available but which reveals information that is not generally known). Also, if the Commission received the same information previously from someone else, your information will not be considered original information unless you can show that you were the "original source" of the information. Rule 165.2(k)-(l)

If you are not sure whether the information that you intend to submit falls within these categories, you should describe such information rather than produce it with your Form TCR.

Please note that, unless certain limited exceptions apply, "independent knowledge" does not include communications that are subject to the attorney-client privilege and information obtained in connection with the legal representation of a client. Rule 165.2(g)(2)-(3)

Employers may not take any action to impede you from communicating directly with the Commission's staff about possible violations of the Commodity Exchange Act, including by enforcing, or threatening to enforce, a confidentiality agreement or predispute arbitration agreement with respect to such communications. Nor may employers discharge, demote, suspend, harass, or in any way discriminate against you because of any lawful act done by you in providing information to the Commission under the whistleblower program or assisting the Commission in any investigation or proceeding based on the information submitted. If you believe that your employer has wrongfully retaliated against you, you may bring a private action in federal court against your employer, within two years of the employer's retaliatory act. If you prevail, you may be entitled to reinstatement, back pay, litigation costs, expert witness fees and attorney's fees. The CFTC also has authority under the CEA to bring an enforcement action against your employer for any retaliatory acts. Rules 165.19, 165.20; Whistleblower Rules, Appendix A

Other federal and state statutes may offer anti-retaliation protections in addition to those provided by the Commodity Exchange Act. If you have questions about these other statutes, please contact an attorney.

All whistleblower awards are paid from the CFTC Customer Protection Fund established by Congress and financed entirely through monetary sanctions paid to the CFTC by violators of the CEA. No money is taken or withheld from harmed investors to fund whistleblower awards.