CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Relief to Swap Dealers and Major Swap Participants Regarding Certain Recordkeeping Obligations Other enforcement

CFTC release 6552-13 · 2013-04-02 · view on cftc.gov ↗

Key facts

Release number: 6552-13
Release date: 2013-04-02
Type: Other enforcement
Primary source: https://www.cftc.gov/PressRoom/PressReleases/6552-13

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.