CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Relief to Certain CPOs and CTAs to Meet Registration and Compliance Obligations Registration / supervisory violation

CFTC release 6302-12 · 2012-07-14 · view on cftc.gov ↗

Key facts

Release number: 6302-12
Release date: 2012-07-14
Type: Registration / supervisory violation
Primary source: https://www.cftc.gov/PressRoom/PressReleases/6302-12

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.