# 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

> CFTC release 6548-13 · 2013-03-30 · **Registration / supervisory violation** · ENFORCEMENT

## Key facts

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

## 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 6548-13, "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", 2013-03-30. Retrieved via AI Analytics 2026-05-20 from https://api.ai-analytics.org/cftc-action/6548-13.

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