Whistleblower Rules

  1. Law
  2. CFR 17
  3. Commodity and Securities Exchanges
  4. Commodity Futures Trading Commission
  5. Whistleblower Rules

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Section
165.1

General.

Section
165.2

Definitions.

Section
165.3

Procedures for submitting original information.

Section
165.4

Confidentiality.

Appendix
Appendix A to Part 165

Guidance With Respect to the Protection of Whistleblowers Against Retaliation

Appendix
Appendix B to Part 165

Form TCR and Form WP-APP

Section
165.5

Requirements for consideration of an award.

Section
165.6

Whistleblowers ineligible for an award.

Section
165.7

Procedures for award applications in Commission actions and related actions, and Commission award determinations.

Section
165.8

Amount of award.

Section
165.9

Criteria for determining amount of award.

Section
165.10

Contents of record for award determination.

Section
165.11

Awards based upon related actions.

Section
165.12

Payment of awards from the Fund, financing of customer education initiatives, and deposits and credits to the Fund.

Section
165.13

Appeals.

Section
165.14

Procedures applicable to the payment of awards.

Section
165.15

Administering the whistleblower program.

Section
165.16

No immunity.

Section
165.17

Awards to whistleblowers who engage in culpable conduct.

Section
165.18

Staff communications with whistleblowers from represented entities.

Section
165.19

Nonenforceability of certain provisions waiving rights and remedies or requiring arbitration of disputes.

Section
165.20

Whistleblower anti-retaliation protections.