# CFTC Issues Notices of Temporary Registration as a Swap Execution Facility to SwapEx, LLC, GFI Swaps Exchange LLC, and MarketAxess SEF Corporation

> CFTC release 6692-13 · 2013-09-14 · **Registration / supervisory violation** · ENFORCEMENT

## Key facts

- **Release number:** 6692-13
- **Release date:** 2013-09-14
- **Type:** Registration / supervisory violation
- **Title:** CFTC Issues Notices of Temporary Registration as a Swap Execution Facility to SwapEx, LLC, GFI Swaps Exchange LLC, and MarketAxess SEF Corporation
- **Primary source:** https://www.cftc.gov/PressRoom/PressReleases/6692-13

## 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 6692-13, "CFTC Issues Notices of Temporary Registration as a Swap Execution Facility to SwapEx, LLC, GFI Swaps Exchange LLC, and MarketAxess SEF Corporation", 2013-09-14. Retrieved via AI Analytics 2026-07-13 from https://api.ai-analytics.org/cftc-action/6692-13.

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