Regulatory Alerts2014-11-14 | 2014-26983Added · Updated
Records of Commodity Interest and Related Cash or Forward Transactions
The Commodity Futures Trading Commission proposes amendments to Regulation 1.35(a) to require that all records be searchable and kept in a form allowing for transaction identification, with specific exceptions for oral and written communications leading to transaction execution. The proposal excludes unregistered members of designated contract markets and swap execution facilities from the requirements to retain text messages and maintain records in a particular form and manner. Additionally, the Commission proposes to exclude commodity trading advisors from the oral recordkeeping requirement to alleviate burdens on market participants while maintaining market integrity.
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