CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief for Certain Futures Commission Merchants, Swap Dealers, and Major Swap Participants Concerning Annual Reports of Chief Compliance Officers Other enforcement

CFTC release 6813-13 · 2013-12-31 · view on cftc.gov ↗

Key facts

Release number: 6813-13
Release date: 2013-12-31
Type: Other enforcement
Primary source: https://www.cftc.gov/PressRoom/PressReleases/6813-13

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.