NFA notified futures commission merchants and introducing brokers of the Financial Action Task Force's adoption of a report on crowdfunding techniques used by terrorist groups to raise money for attacks.
A futures commission merchant settled charges with the National Futures Association for failing to maintain communications records and for failing to protect customer information.
The CFTC proposed changing the types of investments that futures commission merchants and derivatives clearing organizations can make using customer funds.
An introducing broker settled charges with the National Futures Association for failing to comply with recordkeeping requirements and to ensure proper registration of individuals.
The CFTC charged multiple entities for falsely claiming to be registered with the CFTC and NFA in connection with commodities offerings.