CFTC Issues Proposed Rule to Require All Registered Introducing Brokers, Commodity Pool Operators, and Commodity Trading Advisors to Become and Remain Members of a Registered Futures Association Commodity pool fraud

CFTC release 6765-13 · 2013-11-06 · view on cftc.gov ↗

Key facts

Release number: 6765-13
Release date: 2013-11-06
Type: Commodity pool fraud
Primary source: https://www.cftc.gov/PressRoom/PressReleases/6765-13

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.