CFTC Adopts Amendments to Electronic Filing Regulations and Certain Other Financial Reporting Requirements Applicable to Futures Commission Merchants and Introducing Brokers Other enforcement
Key facts
- Release number
- 5766-09
- Release date
- 2009-12-31
- Type
- Other enforcement
- Primary source
- https://www.cftc.gov/PressRoom/PressReleases/5766-09
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.