The CFTC Division of Clearing and Risk granted no-action relief to CX Clearinghouse, L.P. from certain derivatives clearing requirements in light of the company's fully collateralized clearing model.
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The CFTC Divisions of Market Oversight, Swap Dealer and Intermediary Oversight, and Clearing and Risk warned regulated entities "to prepare for the possibility that certain contracts may continue to experience extreme market volatility, low liquidity and possibly negative pricing."
The FIA Law & Compliance Audit Trail Working Group urged the CFTC to amend certain audit trail requirements.
The Business Conduct Committees of the Commodity Exchange and the New York Mercantile Exchange sanctioned a firm and several traders for block trade violations.
The Business Conduct Committees of the Commodity Exchange and the New York Mercantile Exchange sanctioned a firm and several traders for spoofing and for violations of exchange block trading rules.