CFTC Announces Real-Time Public Reporting of Swap Transactions and Swap Dealer Registration Began December 31, 2012 Registration / supervisory violation

CFTC release 6489-13 · 2013-01-03 · view on cftc.gov ↗

Key facts

Release number: 6489-13
Release date: 2013-01-03
Type: Registration / supervisory violation
Primary source: https://www.cftc.gov/PressRoom/PressReleases/6489-13

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.