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Nasdaq settles with CFTC for failing to disclose details of trader perks

Image of a woman walking past the Nasdaq Market site tickers in Times Square, New York City.
Photo: Mario Tama/Getty Images

Julie DiMauro

2 min read
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CFTC alleges company’s failure to disclose certain trader incentives to the CFTC, the public, and its own compliance staff, led to the violation.

Failure to establish or monitor rules for a trader incentive program, and in turn a failure to disclose details of the scheme as required by the regulator, has resulted in a $22m civil monetary penalty for Nasdaq Futures, Inc, from the Commodity Futures Trading Commission (CFTC).

The (CFTC) issued an

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