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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.
Government concern about the state of the energy markets has led to new rules, and to action by regulators targeted at the energy and commodity sector.
Alex Viall5 min read
It is hoped that this Final Guidance will encourage the trading of VCCs and VCC-linked derivatives which in turn will help offset carbon emissions.
Carl E. Kennedy | Katten2 min read
In the lawsuit, Crypto.com alleges that the SEC invented the term Crypto Asset Security to expand its jurisdiction over the digital asset industry.
Julie DiMauro2 min read
By manipulating data, QCQ Impact Investors was able to accumulate millions more in carbon credits than otherwise allowed.
Alexander Barzacanos3 min read
Significant cooperation and remediation resulted in a reduced civil fine for the firm.
Julie DiMauro3 min read
As a registered futures commission merchant CHS was required to make and keep these audio recordings for not less than one year.
Julie DiMauro2 min read
The dissenters questioned whether the definition of “business records” has been stretched beyond usefulness.
Alexander Barzacanos2 min read
The fines totalled over $115m – with one firm dodging the bullet but still finding sympathy from two dissenting commissioners.
Alexander Barzacanos, Julie DiMauro4 min read
Further Reading