CFTC Rule 1.31

Requires covered business to store most categories of records they are obligated to keep on either micrographic or electronic storage media for a full five years and provide them immediately when required.

Rule Overview

Jurisdiction: United States

Regulator: CFTC

Topic: Recordkeeping

Overview
Latest News
Further Reading

This rule harmonizes recordkeeping requirements for those firms regulated by both the CFTC and SEC.

The highest level of timeliness is expected in connection with a firm’s response to a production request by the CFTC.

Latest News More on CFTC