The National Futures Association proposed amendments on enhanced supervisory requirements for security futures broker-dealers employing a large number of previously disciplined employees.
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E*TRADE Securities LLC, an introducing broker, and E*TRADE Clearing LLC, a futures commission merchant, agreed jointly to pay a penalty to settle CFTC allegations that the two entities failed to supervise a third-party vendor that generated inaccurate audit trail logs for their customers.
At a conference held in New York, senior regulators discussed developments in data reporting, clearing and settlement, and the ongoing evolution of Treasury Market structure and liquidity.