CFTC Issues Orders of Registration to Osaka Exchange and Nasdaq Oslo ASA to Permit Trading by Direct Access from the U.S. Registration / supervisory violation

CFTC release 7772-18 · 2018-08-22 · view on cftc.gov ↗

Key facts

Release number: 7772-18
Release date: 2018-08-22
Type: Registration / supervisory violation
Primary source: https://www.cftc.gov/PressRoom/PressReleases/7772-18

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.