Series 3: 7.6.3.1. CFTC Investigations And Prosecutions

Taken from our Series 3 Online Guide

7.6.3.1. CFTC Investigations and Prosecutions

The CFTC’s Division of Enforcement has authority to investigate and prosecute alleged violations of the Commodity Exchange Act and CFTC regulations by its registered members. It bases investigations on information it develops independently, as well as information provided by other CFTC divisions; self-regulatory organizations; state, federal, and international authorities; and members of the public.

At the conclusion of an investigation, the Division

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