CFTC’s Division of Market Oversight Issues Time-Limited No-Action Relief from Parts 43 and 45 Reporting for Prime Brokerage Transactions, and Reporting of Unique Swap Identifiers in Related Trades under Part 45 by Prime Brokers Other enforcement

CFTC release 6465-12 · 2012-12-18 · view on cftc.gov ↗

Key facts

Release number: 6465-12
Release date: 2012-12-18
Type: Other enforcement
Primary source: https://www.cftc.gov/PressRoom/PressReleases/6465-12

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.