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CFTC Rule 166.3
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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.
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CFTC fines Piper Sandler for recordkeeping violations; commissioners dissent
The dissenters questioned whether the definition of “business records” has been stretched beyond usefulness.