The FIA Law & Compliance Audit Trail Working Group urged the CFTC to amend certain audit trail requirements.
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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.
The New York Mercantile Exchange charged two traders for block trade submission violations and prearranged transactions, respectively.
The Chicago Mercantile Exchange Group issued fines against an energy company and a fund management company for trade practice violations.