17 C.F.R. § 165.20

Whistleblower anti-retaliation protections

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(a) In general. No employer may discharge, demote, suspend, directly or indirectly threaten or harass, or in any other manner discriminate against, a whistleblower in the terms and conditions of employment because of any lawful act done by the whistleblower—

(1) In providing information to the Commission in accordance with this part; or

(2) In assisting in any investigation or judicial or administrative action of the Commission based upon or related to such information.

(b) Anti-retaliation enforcement. Section 23(h)(1)(A) of the Commodity Exchange Act (7 U.S.C. 26(h)(1)), including the rules in this part promulgated thereunder, shall be enforceable in an action or proceeding brought by the Commission including where retaliation is in response to a whistleblower providing information to the Commission after reporting the information through internal whistleblower, legal or compliance procedures.

(c) Protections apply regardless of non-qualification. The anti-retaliation protections apply whether or not the whistleblower satisfies the requirements, procedures, and conditions to qualify for an award.

[82 FR 24501, May 30, 2017]

Notes of Decisions

Cited in 2 cases, 2018–2020 · leading case: Johnson v. Oystacher (N.D. Ill. 2018).

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Johnson v. Oystacher (N.D. Ill. 2018). · cites it 2× “Among the revisions was the addition of 17 C.F.R. § 165.20 (c), which extends the Commodity Exchange Act’s anti-retaliation protections to whistleblowers who report internally prior to providing information to the CFTC.”

Elsasser v. DV Trading, LLC (N.D. Ill. 2020). “7 USC § 26 (h) (West 2020); see also 17 C.F.R. § 165.20 (a) (2017). Under the anti-retaliation provision, “No employer may discharge, demote, suspend, directly or indirectly threaten or harass, or in any other manner discriminate against, a whistleblower in the terms and…”

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