# 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

> CFTC release 6744-13 · 2013-10-23 · **Other enforcement** · ENFORCEMENT

## Key facts

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

## 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 6744-13, "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", 2013-10-23. Retrieved via AI Analytics 2026-05-18 from https://api.ai-analytics.org/cftc-action/6744-13.

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