CFTC’s Division of Market Oversight Issues an Amendment to Previously Issued No-Action Relief for Certain Commodity Trading Advisors and Investment Advisors from the Prohibition of Aggregation for Large Notional Off-Facility Swaps Other enforcement

CFTC release 6660-13 · 2013-08-07 · view on cftc.gov ↗

Key facts

Release number: 6660-13
Release date: 2013-08-07
Type: Other enforcement
Primary source: https://www.cftc.gov/PressRoom/PressReleases/6660-13

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.