A voice broker settled CFTC charges for mishandling confidential customer information.
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An introducing broker, its president and an associated person settled NFA charges of misusing customer block order information in a trading scheme.
The CFTC Division of Swap Dealer and Intermediary Oversight exempted a futures commission merchant from certain audited financial reports requirements.
A registered futures commission merchant agreed to settle CFTC and National Futures Association charges relating to an unlawful post-execution allocation scheme.