CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Amended No-Action Letter on the Pay-to-Play Rules for Swap Dealers Conducting Business with Certain Governmental Special Entities- Other enforcement

CFTC release 6433-12 · 2012-11-30 · view on cftc.gov ↗

Key facts

Release number: 6433-12
Release date: 2012-11-30
Type: Other enforcement
Primary source: https://www.cftc.gov/PressRoom/PressReleases/6433-12

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.