CFTC Rule 1.35
-
CFTC charges CHS Hedging with audio comms recordkeeping lapses, trade issues
As a registered futures commission merchant CHS was required to make and keep these audio recordings for not less than one year.
-
CFTC fines Piper Sandler for recordkeeping violations; commissioners dissent
The dissenters questioned whether the definition of “business records” has been stretched beyond usefulness.