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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CFTC ends gag rule
The change comes a few weeks after the SEC ended its own “no-deny” policy.
Alexander Barzacanos2 min read
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GRIP Extra: SCOTUS affirms SEC disgorgement power, EU unveils tech sovereignty package
Our in-brief roundup of notable stories from the last week.
GRIP3 min read
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Second prediction market insider trading case targets Google employee
A Google software engineer allegedly used confidential search data to make around $1.2m on “near-perfect” search term predictions.
Alexander Barzacanos2 min read
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GRIP Extra: Bank of Canada issues stability report, CFTC clears way for perpetual contracts
Our in-brief roundup of notable stories from the last week.
GRIP3 min read
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SEC and CFTC propose major Form PF relief for private fund advisers
Firms, however, must maintain strict adherence to existing requirements until these changes are officially adopted.
Janaya Moscony | SEC31 min read
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GRIP Extra: FDIC proposes stablecoin AML/CFT rules, MiCA undergoes first review
Our in-brief roundup of notable stories from the last week.
GRIP3 min read
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CFTC issues new enforcement cooperation policy
The advisory gives market participants even more opportunity for full enforcement declinations.
Alexander Barzacanos1 min read
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SEC ends gag rule
For more than 50 years, the rule prohibited settling defendants from publicly denying the SEC’s claims.
Alexander Barzacanos2 min read
Further Reading
