WebDec 24, 2024 · According to the CFTC’s public order, the whistleblower, who worked at a major financial institution, provided information that the company had a large trading position at issue, which was deemed to be a “significant contribution” under the CFTC whistleblower program. [11] WebDec 18, 2024 · The SEC has adopted final rules for 67 mandatory rulemaking provisions of the Dodd-Frank Act. Private Funds: Complete (8 rulemaking provisions) ... Joint CFTC and SEC rulemaking regarding mixed swaps: Adopted: Section 712(d)(1) ... Issued report to Congress on the securities whistleblower incentive and protection program. [§922, 924]

CFTC

WebMar 7, 2024 · The CFTC whistleblower reward program, established in 2010 under the Dodd-Frank Act, pays whistleblower awards to eligible individuals who voluntarily provide the CFTC with “original information” on violations of the Commodity Exchange Act that leads to a successful enforcement action resulting in monetary sanctions exceeding … WebThe CFTC requests the last four digits of the claimant’s Social Security number for use as an individual identifier to administer and manage the whistleblower award program. Executive Order 9397 (November 22, 1943) allows federal agencies to use the Social Security number as an individual identifier. ROUTINE USES hema tosti apparaat

eCFR :: 17 CFR Part 165 -- Whistleblower Rules

WebMichael A. Sullivan is a former US federal prosecutor with 30+ years of experience. In addition to advising clients on compliance and performing internal investigations, he … WebOct 22, 2024 · The CFTC’s order awarding a whistleblower $200 million indicates that the award was reduced due to the whistleblower’s delay in reporting information to the CFTC. And indeed, the CFTC’s... WebIf the SEC or CFTC confirm the validity of the whistleblower’s complaint and sanction the wrongdoer for $1 million or more, the whistleblower is entitled to a monetary reward. … hematosytopenia