# 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

> CFTC release 6465-12 · 2012-12-18 · **Other enforcement** · ENFORCEMENT

## Key facts

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

## 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 6465-12, "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", 2012-12-18. Retrieved via AI Analytics 2026-05-19 from https://api.ai-analytics.org/cftc-action/6465-12.

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