CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief Providing an Alternative to Fingerprinting to Establish Fitness of Associated Persons Residing Outside the United States Other enforcement

CFTC release 6616-13 · 2013-06-22 · view on cftc.gov ↗

Key facts

Release number: 6616-13
Release date: 2013-06-22
Type: Other enforcement
Primary source: https://www.cftc.gov/PressRoom/PressReleases/6616-13

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.