# 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

> CFTC release 6772-13 · 2013-11-15 · **Other enforcement** · ENFORCEMENT

## Key facts

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

## 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 6772-13, "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", 2013-11-15. Retrieved via AI Analytics 2026-07-08 from https://api.ai-analytics.org/cftc-action/6772-13.

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