CFTC Adopts Rule Amendment to Clarify that Prohibition against Swap Dealers and Major Swap Participants Associating with Persons Who Are Statutorily Disqualified Does Not Apply in the Case of Clerical and Ministerial Employees Other enforcement

CFTC release 6744-13 · 2013-10-23 · view on cftc.gov ↗

Key facts

Release number: 6744-13
Release date: 2013-10-23
Type: Other enforcement
Primary source: https://www.cftc.gov/PressRoom/PressReleases/6744-13

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.