CFTC Staff Issues Time-Limited No-Action Letter on the Applicability of Oral Recording Requirements for Certain Members of Swap Execution Facilities Other enforcement

CFTC release 6805-13 · 2013-12-21 · view on cftc.gov ↗

Key facts

Release number: 6805-13
Release date: 2013-12-21
Type: Other enforcement
Primary source: https://www.cftc.gov/PressRoom/PressReleases/6805-13

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.