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.
Former CFTC Chair Behnam encouraged committee to support the expansion of the CFTC and SEC's mandate over the crypto market.
Julie DiMauro2 min read
Johnson said firms are leveraging AI to enhance their compliance and monitoring capabilities and meet regulatory mandates.
Julie DiMauro3 min read
The decision came despite “grave concerns” from outgoing CFTC Commissioner Kristin N. Johnson.
Alexander Barzacanos2 min read
The case highlights the urgent need for stablecoin regulation.
Alexander Barzacanos2 min read
Our in-brief roundup of notable stories from last week.
GRIP2 min read
Legal experts examined how blockchain technologies are challenging traditional regulatory models and redefining governance.
Vlada Gurvich4 min read
Our in-brief roundup also includes China's new crypto ownership restrictions, Trump's tariffs, and a multimillion dollar CIRO fine.
GRIP1 min read
Commissioner Goldsmith Romero said her agency should make the benefits of cooperation more clear in public documents and specific cases.
Julie DiMauro6 min read
Further Reading