Designated contract market members and swap execution facilities are required to produce for inspection all documents on which trade information is originally recorded.
Pre-trade communications
All firms are required to keep all oral and written communications provided or received concerning quotes, solicitations, bids, offers, instructions, trading, and prices that lead to the execution of a transaction in a commodity or future.
The communications covered include telephone, voicemail, fax, instant messaging, chat, electronic mail, mobile device or other digital or electronic media.
House Financial Services Committee Chairman Patrick McHenry signals plans to alter oversight of prudential banking regulators.
Julie DiMauro7 min read
Other news includes obesity crisis in America, CFTC awards to whistleblowers, COP29 tensions and pension reforms in the UK.
GRIP1 min read
Mersinger's remarks revolved around CFTC enforcement and ideas for improvement, especially in the extension of cooperation credit.
Julie DiMauro3 min read
The US election campaign is, perhaps predictably, closing amid sound and fury. We step back to take a measured view of America's prospects.
Julie DiMauro13 min read
Other news includes another whopping fine against Teva pharmaceuticals, and Florida accidentally banning banks from business.
GRIP<1 min read
The CFTC issued a customer advisory alerting messaging app users to beware of schemes to defraud them of assets, especially crypto assets.
Julie DiMauro2 min read
Discovery prompts employee suspensions and potential management changes.
Julie DiMauro2 min read
Our latest report on keynote speeches at the recent SIFMA event in New York features CFTC Chair Rostin Behnam.
Alex Viall3 min read
Further Reading