17 CFR 165.3 – Procedures for submitting original information
(a) A whistleblower will need to submit the whistleblower’s information to the Commission. A whistleblower may submit the whistleblower’s information:
Terms Used In 17 CFR 165.3
- original information: means information that—
(1) Is derived from the independent knowledge or independent analysis of a whistleblower;
(2) Is not already known to the Commission from any other source, unless the whistleblower is the original source of the information;
(3) Is not exclusively derived from an allegation made in a judicial or administrative hearing, in a governmental report, hearing, audit, or investigation, or from the news media, unless the whistleblower is a source of the information; and
(4) Is submitted to the Commission for the first time after July 21, 2010 (the date of enactment of the Wall Street Transparency and Accountability Act of 2010). See 17 CFR 165.2
(1) By completing and submitting a Form TCR online and submitting it electronically through the Commission’s Web site at http://www.cftc.gov, or the Commission’s Whistleblower Program Web site at www.whistleblower.gov; or
(2) By completing the Form TCR and mailing or faxing the form to the Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581, Fax (202) 418-5975.
(b) Further, to be eligible for an award, the whistleblower must declare under penalty of perjury at the time the whistleblower submits the whistleblower’s information pursuant to paragraph (a)(1) or (2) of this section that the whistleblower’s information is true and correct to the best of the whistleblower’s knowledge and belief.
(c) Notwithstanding paragraph (b) of this section, if the whistleblower submitted the whistleblower’s original information to the Commission anonymously, then the whistleblower’s identity must be disclosed to the Commission and verified in a form and manner acceptable to the Commission consistent with the procedure set forth in § 165.7(c) prior to Commission’s payment of any award.
(d) If the whistleblower submitted original information in writing to the Commission after July 21, 2010 (the date of enactment of the Wall Street Transparency and Accountability Act of 2010) but before the effective date of these rules, the whistleblower will be eligible for an award only in the event that the whistleblower provided the original information to the Commission in a format or manner other than that described in paragraph (a) of this section, the whistleblower submits a completed Form TCR within 120 days of the effective date of these rules and otherwise follows the procedures set forth above in paragraphs (a) and (b) of this section.