A bank registered as a swap dealer and an introducing broker settled CFTC charges for recordkeeping and supervision failures.
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A swap dealer settled charges with the CFTC for failing to retain audio files due to vendor system failures.
A broker-dealer firm settled CFTC charges for engaging in market manipulation of issuer swaps.
A swap dealer and its affiliated broker-dealer/FCM settled CFTC and SEC charges for failing to (i) prohibit the use of unapproved communication methods, (ii) maintain and produce required records and (iii) adequately supervise its businesses.
A CFTC Order requiring the use of a designated unique product identifier and product classification system for swap recordkeeping and data reporting became effective on February 24, 2023.