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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14 News Results
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 voice broker settled CFTC charges for mishandling confidential customer information.
A CPO and its principal settled NFA charges for making improper loans and advances of pool assets.
An introducing broker, its president and an associated person settled NFA charges of misusing customer block order information in a trading scheme.