Tag: regulation

December 17, 2014 BY Mike Fox

No action relief! Properly registered CTA's will not be required to record oral communications

The staff of the Commodity Futures Trading Commission today issued no-action relief for certain Regulation 1.35(a) recordkeeping requirements. The relief is granted to commodity trading advisors (CTAs) registered with the CFTC that are also members of a designated contract market or swap execution facility (SEF) from Rule 1.35(a)’s oral record keeping requirements. The relief also…

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