CFTC Issues Notices of Temporary Registration as a Swap Execution Facility to tpSEF Inc. and Tradition SEF, Inc. Registration / supervisory violation

CFTC release 6710-13 · 2013-09-26 · view on cftc.gov ↗

Key facts

Release number: 6710-13
Release date: 2013-09-26
Type: Registration / supervisory violation
Primary source: https://www.cftc.gov/PressRoom/PressReleases/6710-13

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.