# CFTC Adopts Amendments to Electronic Filing Regulations and Certain Other Financial Reporting Requirements Applicable to Futures Commission Merchants and Introducing Brokers

> CFTC release 5766-09 · 2009-12-31 · **Other enforcement** · ENFORCEMENT

## Key facts

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

## What this is

CFTC enforcement actions cover derivatives + commodities + crypto fraud cases. The Commission charges market participants under the Commodity Exchange Act for spoofing, manipulation, fraud, wash trades, registration violations, and pool-operator misconduct. Most actions settle with restitution + civil money penalty + a bar/suspension.


## Citation

> US Commodity Futures Trading Commission, press release 5766-09, "CFTC Adopts Amendments to Electronic Filing Regulations and Certain Other Financial Reporting Requirements Applicable to Futures Commission Merchants and Introducing Brokers", 2009-12-31. Retrieved via AI Analytics 2026-07-23 from https://api.ai-analytics.org/cftc-action/5766-09.

---

*[CFTC actions dataset](/datasets/cftc-actions) · CC0 1.0*