CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter Providing Time-Limited Registration Relief to Certain Associated Persons Registration / supervisory violation

CFTC release 6486-12 · 2013-01-01 · view on cftc.gov ↗

Key facts

Release number: 6486-12
Release date: 2013-01-01
Type: Registration / supervisory violation
Primary source: https://www.cftc.gov/PressRoom/PressReleases/6486-12

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.