Form TCR

TIP, COMPLAINT OR REFERRAL

Please refer to the attached Submission Procedures and Completion Instructions as needed to help you complete this form. Or, to submit the form by mail or facsimile, print out the Form TCR and mail or fax the completed form to: CFTC, Whistleblower Office, 1155 21st Street, NW, Washington, DC 20581. Fax Number (202) 418-5975.

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Fields marked with a red exclamation () are required

A. TELL US ABOUT YOURSELF

Complainant

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B. YOUR ATTORNEY'S INFORMATION (If Applicable – See Instructions)

If you are represented by an attorney, or if you are an attorney filing on behalf of your client.

C. TELL US WHO YOU ARE COMPLAINING ABOUT

Individual/Entity

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D. TELL US ABOUT YOUR COMPLAINT

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E. WHISTLEBLOWER PROGRAM

F. WHISTLEBLOWER ELIGIBILITY REQUIREMENTS AND OTHER INFORMATION

FILE UPLOADS

The CFTC Portal is encrypted throughout transmission and processing. It is not necessary to password protect or encrypt uploaded files. These files will be rejected since they cannot be automatically checked for malware and viruses.

  • You may upload up to 10 separate files.
  • Files are limited to a size of 10 MB each.
  • Acceptable Formats ( .doc,.docx,.dot,.xls,.xlsx,.jpg,.jpeg,.pdf,.bmp,.txt,.ppt,.pptx,.odt,.ods,.odp,.zip,.zipx).
  • A file name cannot contain the following special characters: * ? # % ~ & : { } | ' < > " \ /
  • If additional attachments are needed for your submission please submit the form as many times as necessary.
  • Depending on the size of your submission, the transaction can take as long as 4 minutes.Required Field

G. PRIVACY NOTICE AND WHISTLEBLOWER’S DECLARATION

PRIVACY NOTICE

The solicitation of this information is authorized under the Commodity Exchange Act, 7 U.S. C. 1 et seq. This form may be used by anyone wishing to provide the CFTC with information concerning a violation of the Commodity Exchange Act or the CFTC's regulations. This form and related information will be processed in the United States of America, the location of the CFTC. If an individual is submitting this information for the CFTC's whistleblower award program pursuant to Section 23 of the Commodity Exchange Act, the information provided will be used to enable the CFTC to determine the individual's eligibility for payment of an award. This information will be used to investigate and prosecute violations of the Commodity Exchange Act and the CFTC's regulations. The CFTC may disclose this information when required to be disclosed to a defendant or respondent in connection with a public proceeding instituted by the Commission. In addition, if the Commission determines such disclosure is necessary or appropriate to accomplish the purposes of the CEA and to protect customers, the Commission may provide such information to the Department of Justice; an appropriate department or agency of the Federal Government; a state attorney general; any appropriate department or agency of a state; a registered entity, registered futures association, or self-regulatory organization (as defined in Section 3(a) of the Securities Exchange Act of 1934 (15 U.S.C. 78c(a)); or a foreign futures authority. Those entities are subject to the same confidentiality requirements as the Commission. The Commission also may disclose such information in accordance with Privacy Act of 1974 System of Records Notices CFTC-49, "Whistleblower Records" (exempted), CFTC-10, "Investigatory Records" (exempted), and CFTC-16, "Enforcement Case Files," (available on the CFTC Privacy Program web page,www.cftc.gov/Transparency/PrivacyOffice ) exercised in accordance with the confidentiality provisions in the CEA and 17 CFR 165.4. Furnishing information on or through this form is voluntary. However, if an individual is providing information for the whistleblower award program, not providing required information may result in the individual not being eligible for award consideration. Also, you may choose to submit this form anonymously, but in order to receive a whistleblower award, you would need to be identified to select CFTC staff for a final eligibility determination, and in unusual circumstances, you may need to be identified publicly for trial. [See instructions for further information.] By signing this Declaration, I am agreeing to the collection, processing, use, and disclosure of my personally identifiable information as stated herein.

WHISTLEBLOWER’S DECLARATION

I declare under penalty of perjury under the laws of the United States that the information contained herein is true, correct and complete to the best of my knowledge, information and belief. I fully understand that I may be subject to prosecution and ineligible for a whistleblower award if, in my submission of information, my other dealings with the Commodity Futures Trading Commission, or my dealings with another authority in connection with a related action, I knowingly and willfully make any false, fictitious or fraudulent statements or representations, or use any false writing or document knowing that the writing or document contains any false, fictitious or fraudulent statement or entry.

Check this box to agree with the declaration above.

H. COUNSEL CERTIFICATION

I certify that I have reviewed this form for completeness and accuracy and that the information contained herein is true, correct and complete to the best of my knowledge, information and belief. I further certify that I have verified the identity of the whistleblower on whose behalf this form is being submitted by viewing the whistleblower's valid, unexpired government issued identification (e.g., driver's license, passport) and will retain an original, signed copy of this form, with Section F signed by the whistleblower, in my records. I further certify that I have obtained the whistleblower's non-waivable consent to provide the Commodity Futures Trading Commission with his or her original signed Form TCR upon request in the event that the Commodity Futures Trading Commission requests it due to concerns that the whistleblower may have knowingly and willfully made false, fictitious, or fraudulent statements or representations, or used any false writing or document knowing that the writing or document contains any false fictitious or fraudulent statement or entry, and that I consent to be legally obligated to do so within seven (7) calendar days of receiving such a request from the Commodity Futures Trading Commission.

Check this box to agree with the declaration above.

AUTHENTICATION AND CONSENT

SUBMISSION