# CFTC Staff Issues No-Action Letter for Commodity Pool Operators of Commodity Pools that are not Registered Investment Companies with Wholly-Owned Trading Subsidiaries

> CFTC release 6988-14 · 2014-09-09 · **Commodity pool fraud** · ENFORCEMENT

## Key facts

- **Release number:** 6988-14
- **Release date:** 2014-09-09
- **Type:** Commodity pool fraud
- **Title:** CFTC Staff Issues No-Action Letter for Commodity Pool Operators of Commodity Pools that are not Registered Investment Companies with Wholly-Owned Trading Subsidiaries
- **Primary source:** https://www.cftc.gov/PressRoom/PressReleases/6988-14

## 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 6988-14, "CFTC Staff Issues No-Action Letter for Commodity Pool Operators of Commodity Pools that are not Registered Investment Companies with Wholly-Owned Trading Subsidiaries", 2014-09-09. Retrieved via AI Analytics 2026-07-06 from https://api.ai-analytics.org/cftc-action/6988-14.

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