CFTC’s Division of Swap Dealer and Intermediary Oversight Issues a No-Action Letter for Business Development Companies Other enforcement

CFTC release 6442-12 · 2012-12-05 · view on cftc.gov ↗

Key facts

Release number
6442-12
Release date
2012-12-05
Type
Other enforcement
Primary source
https://www.cftc.gov/PressRoom/PressReleases/6442-12

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.