CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter Providing Registration Relief to Certain Introducing Brokers and Commodity Trading Advisors Involved in Swaps Activities Registration / supervisory violation

CFTC release 6487-12 · 2012-12-31 · view on cftc.gov ↗

Key facts

Release number: 6487-12
Release date: 2012-12-31
Type: Registration / supervisory violation
Primary source: https://www.cftc.gov/PressRoom/PressReleases/6487-12

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.