An introducing broker settled charges with the National Futures Association for failing to comply with recordkeeping requirements and to ensure proper registration of individuals.
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The CFTC Division of Market Oversight extended no-action relief from the ownership and control reporting requirements for reporting entities.
The CFTC Market Participants Division extended temporary no-action relief to permit futures commission merchants to invest customer funds in securities that include an adjustable interest rate benchmarked to the Secured Overnight Financing Rate.
The NFA Business Conduct Committee issued a complaint against an introducing broker and its CEO for registration and supervision violations.
A CFTC-registered introducing broker settled NFA charges for failing to maintain complete records and allowing an unregistered individual to operate as an associated person.