CFTC Staff Issues Advisory to Clarify Activities that May Trigger the SEF Registration Requirement Registration / supervisory violation

CFTC release 8436-21 · 2021-09-29 · view on cftc.gov ↗

Key facts

Release number: 8436-21
Release date: 2021-09-29
Type: Registration / supervisory violation
Primary source: https://www.cftc.gov/PressRoom/PressReleases/8436-21

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.