# CFTC Staff Issues Time-Limited No-Action Letter for Canadian Swap Dealers Concerning Quarterly Risk Exposure Reports

> CFTC release 6939-14 · 2014-05-31 · **Other enforcement** · ENFORCEMENT

## Key facts

- **Release number:** 6939-14
- **Release date:** 2014-05-31
- **Type:** Other enforcement
- **Title:** CFTC Staff Issues Time-Limited No-Action Letter for Canadian Swap Dealers Concerning Quarterly Risk Exposure Reports
- **Primary source:** https://www.cftc.gov/PressRoom/PressReleases/6939-14

## 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 6939-14, "CFTC Staff Issues Time-Limited No-Action Letter for Canadian Swap Dealers Concerning Quarterly Risk Exposure Reports", 2014-05-31. Retrieved via AI Analytics 2026-07-16 from https://api.ai-analytics.org/cftc-action/6939-14.

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