# CFTC Announces Procedures for Submission of Risk Exposure Reports and Chief Compliance Officer Annual Reports by Swap Dealers and Major Swap Participants

> CFTC release 6541-13 · 2013-03-23 · **Other enforcement** · ENFORCEMENT

## Key facts

- **Release number:** 6541-13
- **Release date:** 2013-03-23
- **Type:** Other enforcement
- **Title:** CFTC Announces Procedures for Submission of Risk Exposure Reports and Chief Compliance Officer Annual Reports by Swap Dealers and Major Swap Participants
- **Primary source:** https://www.cftc.gov/PressRoom/PressReleases/6541-13

## 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 6541-13, "CFTC Announces Procedures for Submission of Risk Exposure Reports and Chief Compliance Officer Annual Reports by Swap Dealers and Major Swap Participants", 2013-03-23. Retrieved via AI Analytics 2026-06-26 from https://api.ai-analytics.org/cftc-action/6541-13.

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