1. Proceedings

2. The Legal Process Administrative Proceedings
CFTC Administrative
Sec. 6(c), 6(d) and 6(e) of the Act
Part 10 of the Regulations
Civil Injunctive Proceedings
Federal District Court
Sec. 6c of the Act
Criminal Proceedings

3. Administrative Proceedings
Heard by an Administrative Law Judge who issues an Initial Decision
Appeals
To Commission
To Federal Appellate Courts
Part 10 of the Regulations

4. Available Administrative Remedies Section 6
Cease & Desist
Revocation or Suspension of Registration
Trading Prohibition
Restitution (Reg – )
Civil Monetary Penalty (Sec. 6(e))
US $120,000 or 3 times monetary gain
Other Remedies by Settlement (Appendix A to Part 10)
6(d) for any person
6b for registered entities

5. Civil Injunctive Proceedings
Tried in United States District Court
Appeals to Federal Appellate Courts

6. Remedies Available in Federal Court Cases
Ex parte relief
Asset freeze
Prevent destruction of documents
Appointment of receiver
Injunction – Preliminary and Permanent
Civil monetary penalty
Must seek injunctive relief

7. Additional Forms of Equitable Relief
Disgorgement
Rescission
Accounting
Other by settlement

8. Criminal Violations
All willful violations of the Commodity Exchange Act and the CFTC’s regulations are criminal violations, including market abuse provisions.
But no person shall be subject to imprisonment for the violation of any rule or regulation if such person proves that he had no knowledge of such rule or regulation.

9. Criminal Proceedings Prosecuted by the Department of Justice
Tried in United States District Court
Appeals to Federal Appellate Courts

10. Criminal Sanctions
Felonies are punishable by a fine of not more than US $1 million and imprisonment for not more than 5 years, or both.
Insider trading by Commission employee or exchange official:
US $500,000 or imprisonment for not more than five years, or both, together with the costs of prosecution