CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief for Certain Persons from Registration as an Introducing Broker or Commodity Trading Advisor Registration / supervisory violation

CFTC release 6548-13 · 2013-03-30 · view on cftc.gov ↗

Key facts

Release number: 6548-13
Release date: 2013-03-30
Type: Registration / supervisory violation
Primary source: https://www.cftc.gov/PressRoom/PressReleases/6548-13

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.