Commission Approves an Order Regarding Swap Dealer Registration De Minimis Exception Registration / supervisory violation

CFTC release 7471-16 · 2016-10-14 · view on cftc.gov ↗

Key facts

Release number
7471-16
Release date
2016-10-14
Type
Registration / supervisory violation
Primary source
https://www.cftc.gov/PressRoom/PressReleases/7471-16

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.