CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief to Introducing Brokers for Certain Financial Reporting Requirements Other enforcement

CFTC release 7111-15 · 2015-01-24 · view on cftc.gov ↗

Key facts

Release number: 7111-15
Release date: 2015-01-24
Type: Other enforcement
Primary source: https://www.cftc.gov/PressRoom/PressReleases/7111-15

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.