# CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief Regarding Introducing Brokers’ Compliance with Certain Financial Reporting and Capital Computation Requirements

> CFTC release 6810-13 · 2013-12-24 · **Other enforcement** · ENFORCEMENT

## Key facts

- **Release number:** 6810-13
- **Release date:** 2013-12-24
- **Type:** Other enforcement
- **Title:** CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief Regarding Introducing Brokers’ Compliance with Certain Financial Reporting and Capital Computation Requirements
- **Primary source:** https://www.cftc.gov/PressRoom/PressReleases/6810-13

## 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 6810-13, "CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief Regarding Introducing Brokers’ Compliance with Certain Financial Reporting and Capital Computation Requirements", 2013-12-24. Retrieved via AI Analytics 2026-07-12 from https://api.ai-analytics.org/cftc-action/6810-13.

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