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CFTC Approves Final Rule Requiring Recording of Oral Communications

Published in the Journal of Investment Compliance
Article | April 26, 2013

The Commodity Futures Trading Commission (CFTC) has issued amendments to 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 communicated by telephone, voicemail or mobile device. This article addresses these amendments along with the CFTC's revised rules expanding the current recordkeeping requirements to include written communications related to swap transactions.

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