CFTC Division of Market Oversight Issues No-Action Relief from Certain Timing Requirements Regarding SEF Chief Compliance Officer Annual Compliance Reports and Fourth Quarter Financial Reports Other enforcement

CFTC release 7648-17 · 2017-11-20 · view on cftc.gov ↗

Key facts

Release number: 7648-17
Release date: 2017-11-20
Type: Other enforcement
Primary source: https://www.cftc.gov/PressRoom/PressReleases/7648-17

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.