# CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Corrected No-Action Letter on Relief from Certain External Business Conduct Standards and Documentation Standards

> CFTC release 6632-13 · 2013-06-28 · **Other enforcement** · ENFORCEMENT

## Key facts

- **Release number:** 6632-13
- **Release date:** 2013-06-28
- **Type:** Other enforcement
- **Title:** CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Corrected No-Action Letter on Relief from Certain External Business Conduct Standards and Documentation Standards
- **Primary source:** https://www.cftc.gov/PressRoom/PressReleases/6632-13

## 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 6632-13, "CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Corrected No-Action Letter on Relief from Certain External Business Conduct Standards and Documentation Standards", 2013-06-28. Retrieved via AI Analytics 2026-07-12 from https://api.ai-analytics.org/cftc-action/6632-13.

---

*[CFTC actions dataset](/datasets/cftc-actions) · CC0 1.0*