SUBMIT A TIP

BEFORE this step, be sure:

  • You have identified a potential violation of the Commodity Exchange Act
  • You understand the confidentiality and anti-retaliation protections provided in the Whistleblower Rules

What to expect NEXT:

  • The Whistleblower Office will confirm in writing that your Form TCR has been received and provide you with a confirmation number, which you must retain
  • If you voluntarily provided original information that led to a successful enforcement action, you may be eligible for an award
  • Subscribe to receive alerts to new Notices of Covered Action, and monitor the webpage periodically
  • Monitor the webpages of other regulatory agencies for potential Related Actions
  • All investigations are confidential, so you should not expect the Whistleblower Office to provide you with an update on the status of your complaint

Complete Form TCR
(Tip, Complaint, or Referral)

Refer to the Privacy Act Statement, Submission Procedures, and Completion Instructions included with the Form TCR as needed to complete this form.

  • A Form TCR can be submitted either online or via mail or fax. Only one method of submission needs to be completed.
  • The online form is best viewed using Internet Explorer (IE) 9 and higher and Firefox 26 and higher. After 65 minutes of inactivity, the online form will timeout, and all data will be lost. You will then need to re-access the form to enter your data again.
  • You can submit attachments/supporting files with your Form TCR. Examples include screenshots of trading activity or solicitation emails.
  • You can later supplement your Form TCR by email if you obtain additional information. Be sure to reference your original Form TCR confirmation number.

File Form TCR Online

To submit via mail or fax, you can download and print the Form TCR and mail or fax the completed form to:

Fax:
(202) 418-5975

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

Download Form TCR PDF

How to Become a Whistleblower Eligible for Award

The first step to becoming eligible for a whistleblower award is for an individual or group of individuals to submit a tip, complaint, or referral on a Form TCR that contains information about a potential violation of the CEA. Whistleblowers can be anyone: corporate insiders, market observers, investors, customers, and fraud victims. A whistleblower need not be a company insider. But entities cannot be eligible for awards themselves, and not every whistleblower will be eligible for an award.

Information provided by a whistleblower could lead the Commission to open a new investigation, re-open a closed investigation, pursue a new line of inquiry in an ongoing investigation, or significantly contribute to the success of an enforcement action. This could result in a successful enforcement action or a Related Action, which could be brought by another governmental authority. Only those whistleblowers who submit information before the CFTC contacts them will be eligible for an award. In order for information to be voluntarily submitted, it must be submitted before the CFTC or certain other authorities request, inquire, or demand information from the whistleblower related to the original information being provided.

Individuals can submit a tip anonymously, with or without a lawyer’s help. Because the CFTC may need to contact a whistleblower for more information, individuals should provide some means of contact, such as an email address or telephone number. Likewise, there are detailed requirements for submitting an award application anonymously. If you have any questions about submitting anonymously, you are encouraged to contact the Whistleblower Office before you file.

Whether or not an individual submits anonymously, the CFTC is committed to protecting the identities of whistleblowers. The CFTC treats information learned during the course of an investigation—including the identity of sources—as non-public and confidential.

The exception to this policy is that in an administrative or court proceeding, the CFTC may be required to produce documents or other information which would reveal a whistleblower’s identity. Likewise, the CFTC may also provide the information provided by whistleblowers, subject to confidentiality requirements, to other government or regulatory entities.

Prerequisites & Eligibility Requirements

The Whistleblower Rules specify the prerequisites and eligibility requirements. Prerequisites include:

  • Whistleblower information must be provided voluntarily, prior to a request, inquiry, or demand for information
  • The information must be original information not previously known to the Commission, but if the whistleblower is the original source of the information, it would be deemed original information
  • The information must have led to a successful resolution of CFTC action or a Related Action
  • The whistleblower, upon CFTC staff’s request, must provide certain additional information
  • The whistleblower must have submitted an award application (Form WB-APP) in response to a Notice of Covered Action or a final judgment in a Related Action or both

Related Frequently Asked Questions

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?

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

Will you update me on the status of my TCR?