CFTC 批准有关举报人奖励的最终规则

CFTC 批准有关举报人奖励的最终规则 |美国商品期货交易委员会
版本号 9297-26
CFTC 批准有关举报人奖励的最终规则
2026 年 9 月 11 日
华盛顿——商品期货交易委员会今天批准了一项最终规则，其中包含对举报人奖励 500 万美元或以下的 30% 的推定，具体取决于委员会的自由裁量权及其对相关监管因素的分析。
最终规则以美国证券交易委员会第 21F-6(c) 条规则为蓝本，进一步加强了两个机构之间正在进行的协调工作。 CFTC 预计这一新规定将提高举报人奖励索赔处理的效率、透明度和可预测性。
“这项最终规则将帮助我们的举报办公室迅速、透明地处理举报人的指控，这是进一步协调 CFTC 和 SEC 的重要一步，”主席 Michael S. Selig 表示。
“举报人计划在支持委员会的执法计划方面发挥着重要作用，”举报人办公室主任拉格尼·贝里 (Raagnee Beri) 说。 “这项最终规则将保护和提高该计划的有效性，并进一步激励举报人举报。”
最终规则将于联邦公报公布后 30 天生效。
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CFTC Approves Final Rule Concerning Whistleblower Awards | CFTC
Release Number 9297-26
CFTC Approves Final Rule Concerning Whistleblower Awards
September 11, 2026
WASHINGTON — The Commodity Futures Trading Commission today approved a final rule that incorporates a 30 percent presumption for whistleblower awards of $5 million or less, subject to Commission discretion and its analysis of relevant regulatory factors.
The final rule is modeled on the Securities and Exchange Commission’s rule 21F-6(c), further enhancing the ongoing efforts at harmonization between the two agencies. The CFTC expects this new provision to improve the efficiency, transparency, and predictability of whistleblower award claims processing.
“This final rule will help our Whistleblower Office to promptly and transparently process whistleblower claims, representing an important step in further harmonizing the CFTC and SEC,” said Chairman Michael S. Selig.
“The Whistleblower Program plays an important role in supporting the Commission’s enforcement program,” said Raagnee Beri, director of the Whistleblower Office. “This final rule will protect and enhance the program’s effectiveness and further incentivize whistleblowers to report.”
The final rule will be effective 30 days after publication in the Federal Register .
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