# CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief for Certain Swap Dealers Concerning Annual Reports of Chief Compliance Officers

> CFTC release 6463-12 · 2012-12-15 · **Other enforcement** · ENFORCEMENT

## Key facts

- **Release number:** 6463-12
- **Release date:** 2012-12-15
- **Type:** Other enforcement
- **Title:** CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief for Certain Swap Dealers Concerning Annual Reports of Chief Compliance Officers
- **Primary source:** https://www.cftc.gov/PressRoom/PressReleases/6463-12

## 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 6463-12, "CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief for Certain Swap Dealers Concerning Annual Reports of Chief Compliance Officers", 2012-12-15. Retrieved via AI Analytics 2026-05-20 from https://api.ai-analytics.org/cftc-action/6463-12.

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