CFTC Issues Notices of Temporary Registration as Swap Execution Facilities to TW SEF LLC and DW SEF LLC Registration / supervisory violation

CFTC release 6685-13 · 2013-09-10 · view on cftc.gov ↗

Key facts

Release number: 6685-13
Release date: 2013-09-10
Type: Registration / supervisory violation
Primary source: https://www.cftc.gov/PressRoom/PressReleases/6685-13

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.