CFTC Staff Issues No-Action Letter Addressing Timeline for Swap Dealer Compliance with Swap Data Reporting Rules Other enforcement

CFTC release 6414-12 · 2012-11-21 · view on cftc.gov ↗

Key facts

Release number
6414-12
Release date
2012-11-21
Type
Other enforcement
Primary source
https://www.cftc.gov/PressRoom/PressReleases/6414-12

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.