The New York Mercantile Exchange charged two traders for block trade submission violations and prearranged transactions, respectively.
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CFTC Commissioner Brian Quintenz criticized prior CFTC leadership as having exceeded statutory authority in cross-border matters and urged the agency to mitigate market fragmentation through deference in regulatory oversight.
An energy marketing and advisory company settled CFTC charges for acting as a futures commission merchant without registering with the agency.
OFAC "replaced and superseded" a General License clarifying certain transactions regarding any equity interest in an entity owned 50 percent or more by the Venezuelan government.
The comment deadline for a CFTC proposal amending swap data reporting regulations was extended from October 28, 2019 to January 27, 2020.