CFTC Annual Report on the Whistleblower Program and Customer Education Initiatives, Fiscal Year 2023

CFTC report to Congress for FY2023 (48 pp.; pp. 1, 4, 14, 19-20, 23-24, 27 and 34-48 are images read by OCR): 7 applications granted (~$16 million) in 5 orders; 136 orders denying 174 applications (144 streamlined), 65 withdrawn, 2 closed for lack of contact details (table on p. 4); 41 orders ~$350 million and >$3 billion sanctions since inception; award descriptions 23-WB-01, -04 to -07 (cases already recorded); 1,530 TCRs plus 288 supplements, chart FY2019-2023; 118 non-whistleblower tips (91 + 27 SEC); tip subjects (no counts); carbon-markets alert 20 Jun 2023 (event); 32 NCAs; 301 applications (record) with chart; outreach (5+4 events, 54,000 subscribers, 410,000 page views: not recorded); confidentiality reviews; customer education incl. ~2,600 customer fraud complaints and web traffic (out of scope: customer complaints, not whistleblower tips); fund table on available balance (checks exactly); OIG memo; auditors' report; financial statements incl. Note 4 (liability ~$31.46 million incl. ~$18 million award finalised 12 Oct 2023, $15,628,065 in payables, 16 under-collected awards incl. five $0, $28,281,924 if collected, 29 claims under review, $0-$1,020,561,061). Not extracted, judged out of scope as fund accounting detail: outstanding sequestration ($24,224,823), total assets ($311,636,735), gross costs, Fund Balance with Treasury, investments, payables, leave, overhead, budgetary resources, undelivered orders, reconciliation, cash flow, comparatives.