CFTC Issues Notice of Temporary Registration as a Swap Execution Facility to GTX SEF, LLC Registration / supervisory violation

CFTC release 6911-14 · 2014-04-18 · view on cftc.gov ↗

Key facts

Release number
6911-14
Release date
2014-04-18
Type
Registration / supervisory violation
Primary source
https://www.cftc.gov/PressRoom/PressReleases/6911-14

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.