# CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief Regarding the Treatment of Swap Transactions by Certain Non-U.S. Persons, for Purposes of Making Calculations Under the Swap Dealer Definition

> CFTC release 6740-13 · 2013-10-18 · **Other enforcement** · ENFORCEMENT

## Key facts

- **Release number:** 6740-13
- **Release date:** 2013-10-18
- **Type:** Other enforcement
- **Title:** CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief Regarding the Treatment of Swap Transactions by Certain Non-U.S. Persons, for Purposes of Making Calculations Under the Swap Dealer Definition
- **Primary source:** https://www.cftc.gov/PressRoom/PressReleases/6740-13

## 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 6740-13, "CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief Regarding the Treatment of Swap Transactions by Certain Non-U.S. Persons, for Purposes of Making Calculations Under the Swap Dealer Definition", 2013-10-18. Retrieved via AI Analytics 2026-06-25 from https://api.ai-analytics.org/cftc-action/6740-13.

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