CFTC Seeks Public Comment on a Proposal to Amend Minimum Adjusted Net Capital Requirements of Futures Commission Merchants and Introducing Brokers Other enforcement

CFTC release 5653-09 · 2009-05-13 · view on cftc.gov ↗

Key facts

Release number: 5653-09
Release date: 2009-05-13
Type: Other enforcement
Primary source: https://www.cftc.gov/PressRoom/PressReleases/5653-09

About CFTC enforcement

The CFTC charges market participants under the Commodity Exchange Act for spoofing, manipulation, fraud, wash trades, registration violations, and commodity-pool-operator misconduct. Most actions settle with restitution + civil money penalty + a bar/suspension. Crypto-asset cases have been a major share since 2019.