A voice broker settled CFTC charges for mishandling confidential customer information.
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NFA charged an introducing broker and its former sole principal with failing to properly maintain books and records, as well as submitting inaccurate financial statements.
The NFA adopted amendments to its Compliance Rules and Interpretive Notices to cover transactions and counterparties involving swaps.
On September 14, 2018, the CFTC filed and settled 12 enforcement actions against multiple firms and individuals for registration, position limits, recordkeeping, supervisory and reporting violations.
The National Futures Association charged a registered independent introducing broker with failing to maintain the required minimum adjusted net capital, file telegraphic notice of its capital deficiencies with the NFA in a timely manner and keep current books and records.