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Commodity Futures Trading Commission 1 Communications 1 Exchange members 1 Futures commission merchant 1 Futures markets 1 Introducing broker 1 Oral communications 1 Recording 1 Recordkeeping 1 Retail foreign exchange dealers 1
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technical-paper 1
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English 1
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Brockway, Blake J. 1 Foley, Kevin M. 1 Rosenzweig, Kenneth M. 1
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Journal of Investment Compliance 1
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CFTC approves final rule requiring recording of oral communications
Rosenzweig, Kenneth M.; Foley, Kevin M.; Brockway, Blake J. - In: Journal of Investment Compliance 14 (2013) 1, pp. 47-49
Purpose – This paper aims to address amendments to the Commodity Futures Trading Commission (CFTC) recordkeeping rules that will require certain market participants to maintain records of all oral communications leading to the execution of a “commodity interest” transaction that are...
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