CFTC’s Divisions of Clearing and Risk, Market Oversight and Swap Dealer and Intermediary Oversight Issue Guidance on the Application of Certain Commission Regulations to Swap Execution Facilities Other enforcement

CFTC release 6772-13 · 2013-11-15 · view on cftc.gov ↗

Key facts

Release number: 6772-13
Release date: 2013-11-15
Type: Other enforcement
Primary source: https://www.cftc.gov/PressRoom/PressReleases/6772-13

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.