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CFTC Sanctions Firm for Submitting Inaccurate Large Trader Reports

The CFTC issued an Order to file and simultaneously settle charges against J.P. Morgan Securities LLC ("JPMS"), a registered futures commission merchant, for submitting inaccurate large trader reports.

See: CFTC Order.

Tags

Regulated Activities
Ownership Regulatory Reporting
Sub-Activity
CFTC Large Position / Large Trader Reports (Pts. 15-21)
Regulated Entities
FCMs and IBs, Floor Brokers Swap Dealers / SBSDs Traders / Investors / Counterparties
Regulated Products
Futures / Security Futures Swaps / SBS
Body of Law
CEA Regulation
Jurisdiction
US - Federal
Organization
CFTC, NFA, CFTC Markets
Sub-Author
CFTC