CFTC Staff Responds to Questions on Timing of Swap Dealer Registration Rules Registration / supervisory violation

Key facts

Release number

6348-12

Release date

2012-09-11

Type

Registration / supervisory violation

Primary source

https://www.cftc.gov/PressRoom/PressReleases/6348-12

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.