CFTC Rule 1.31

Requires covered business to store most categories of records they are obligated to keep on either micrographic or electronic storage media for a full five years and provide them immediately when required.

Rule Overview

Jurisdiction: United States

Regulator: CFTC

Topic: Recordkeeping

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Further Reading

This rule harmonizes recordkeeping requirements for those firms regulated by both the CFTC and SEC.

The highest level of timeliness is expected in connection with a firm’s response to a production request by the CFTC.

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