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

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

In many cases, yes. Rule 165.6(a) generally outlines those whistleblowers who are ineligible for an award. Only whistleblowers who work for a "Registered Entity," as that term is defined in the CEA, are precluded from becoming whistleblowers by virtue of their employment, pursuant to Rule 165.6(a)(1). That term does not include a Futures Commission Merchant. See 7 U.S.C. ยง 1a(29) (2012). A whistleblower who works for a Futures Commission Merchant may therefore be eligible for an award, assuming he or she otherwise meets the eligibility criteria set out in the Whistleblower Rules, including the requirement of Rule 165.2(g)(4) that information about a potential violation not have been learned by the whistleblower who is an officer, director, trustee or partner in connection with the entity's processes for identifying, reporting, and addressing possible violations of law.

Order
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