# CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Relief to Swap Dealers and Major Swap Participants Regarding Certain Recordkeeping Obligations

> CFTC release 6404-12 · 2012-10-30 · **Other enforcement** · ENFORCEMENT

## Key facts

- **Release number:** 6404-12
- **Release date:** 2012-10-30
- **Type:** Other enforcement
- **Title:** CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Relief to Swap Dealers and Major Swap Participants Regarding Certain Recordkeeping Obligations
- **Primary source:** https://www.cftc.gov/PressRoom/PressReleases/6404-12

## 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 6404-12, "CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Relief to Swap Dealers and Major Swap Participants Regarding Certain Recordkeeping Obligations", 2012-10-30. Retrieved via AI Analytics 2026-06-25 from https://api.ai-analytics.org/cftc-action/6404-12.

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