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.
FIA offered recommendations on CFTC-proposed amendments to large trader position requirements to address outstanding issues and "promote the transparency and quality of data."
The CFTC set a comment deadline of August 28, 2023 on proposed amendments to large trader position reporting requirements for futures and options.
The CFTC proposed amendments to large trader position requirements for futures and options that would "modernize" how data is reported and expand the data to be reported.