# CFTC Staff Issues an Advisory Related to Prime Brokerage Arrangements and Derivatives Clearing Organization Registration Requirements

> CFTC release 8705-23 · 2023-05-17 · **Registration / supervisory violation** · ENFORCEMENT

## Key facts

- **Release number:** 8705-23
- **Release date:** 2023-05-17
- **Type:** Registration / supervisory violation
- **Title:** CFTC Staff Issues an Advisory Related to Prime Brokerage Arrangements and Derivatives Clearing Organization Registration Requirements
- **Primary source:** https://www.cftc.gov/PressRoom/PressReleases/8705-23

## What this is

CFTC enforcement actions cover derivatives + commodities + crypto fraud cases. The Commission charges market participants under the Commodity Exchange Act for spoofing, manipulation, fraud, wash trades, registration violations, and pool-operator misconduct. Most actions settle with restitution + civil money penalty + a bar/suspension.


## Citation

> US Commodity Futures Trading Commission, press release 8705-23, "CFTC Staff Issues an Advisory Related to Prime Brokerage Arrangements and Derivatives Clearing Organization Registration Requirements", 2023-05-17. Retrieved via AI Analytics 2026-07-16 from https://api.ai-analytics.org/cftc-action/8705-23.

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