The CFTC charged multiple entities for falsely claiming to be registered with the CFTC and NFA in connection with commodities offerings.
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A registered futures commission merchant settled CFTC charges for failing to supervise adequately the monitoring of its customers' trading.
House Financial Services Committee Chair Patrick McHenry (R-NC) and House Agriculture Committee Chair Glenn Thompson (R-PA) proposed legislation that would establish a digital asset framework and provide for related joint rulemaking from the CFTC and the SEC.
An introducing broker two of its peresonnel settled NFA charges for acting without a "bona fide reason" for placing favored customer as a counterparty in trades with other customers; NFA alleged the actions generated profits for the favored customer and additional brokerage fees at the expense of other customers.
The Business Conduct Committees of the New York Mercantile Exchange and the Commodity Exchange sanctioned two firms and two traders for numerous exchange rule violations related to block trades and wash trades.