CFTC Rule 1.35

Requires firms to keep full, complete and systematic records of all covered transactions.

Rule Overview

Jurisdiction: United States

Regulator: CFTC

Topic: Recordkeeping

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Further Reading

Designated contract market members and swap execution facilities are required to produce for inspection all documents on which trade information is originally recorded.

Pre-trade communications

All firms are required to keep all oral and written communications provided or received concerning quotes, solicitations, bids, offers, instructions, trading, and prices that lead to the execution of a transaction in a commodity or future.

The communications covered include telephone, voicemail, fax, instant messaging, chat, electronic mail, mobile device or other digital or electronic media.

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