Comments on CFTC proposed rules on governance and conflict standards for Designated Contract Markets and Swap Execution Facilities are due on or before April 22, 2024.
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The NFA submitted to the CFTC proposed changes to compliance rules, bylaws and interpretive guidance related to Member Questionnaires requirements.
The CFTC proposed new rules and amendments establishing governance and fitness requirements with respect to market regulation functions and conflict of interest standards at Designated Contract Markets and Swap Execution Facilities.
A registered futures commission merchant settled CFTC charges for failing to supervise adequately the monitoring of its customers' trading.
A CPO/CTA settled CFTC charges of supervisory failures that allowed “disruptive, reckless, and disorderly” employee trading practices.