| Chairman Behnam to Participate in a Fireside Chat at the 2024 Treasury Market Conference in NYC |
| 09/23/2024 |
You are subscribed to Events for CFTC.gov. This information has recently been updated, and is now available. Chairman Behnam to Participate in a Fireside Chat at the 2024 Treasury Market Conference in NYCChairman Rostin Behnam will participate in a fireside chat at the 2024 Treasury Market Conference in New York City. Event: 09/26/24  |
| Commissioners Pham & Mersinger to Keynote at DACOM NYC 2024 |
| 09/23/2024 |
You are subscribed to Events for CFTC.gov. This information has recently been updated, and is now available. Commissioners Pham & Mersinger to Keynote at DACOM NYC 2024Commissioners Caroline D. Pham and Summer K. Mersinger will participate in a keynote fireside chat titled “The Power of Dissent and the Future of Crypto Regulation” at DACOM New York 2024, the Digital Asset Compliance & Market Integrity Summit. Event: 09/25/24  |
| CFTC Orders Piper Sandler to Pay $2 Million for Recordkeeping and Supervision Failures for Firm-Wide Use of Unapproved Communication Methods |
| 09/23/2024 |
You are subscribed to Enforcement Press Releases for CFTC.gov. This information has recently been updated, and is now available. CFTC Orders Piper Sandler to Pay $2 Million for Recordkeeping and Supervision Failures for Firm-Wide Use of Unapproved Communication MethodsThe Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against Piper Sandler Hedging Services LLC, an introducing broker, for failing to maintain and preserve records that were required to be kept under CFTC recordkeeping requirements, and failing to diligently supervise matters related to its business as a CFTC registrant. Click here to view the press release in full. Released: 09/23/2024  |
| Dissenting Statement of Commissioner Summer K. Mersinger Regarding Settlement With Piper Sandler Hedging Services, LLC |
| 09/23/2024 |
You are subscribed to Public Statements and Remarks for CFTC.gov. This information has recently been updated, and is now available. Dissenting Statement of Commissioner Summer K. Mersinger Regarding Settlement With Piper Sandler Hedging Services, LLCI respectfully dissent from the Commission’s enforcement action settling charges against Piper Sandler Hedging Services, LLC (“Piper Sandler” or “Respondent”). Click here to view the statement in full. Released: 09/23/2024  |
| Dissenting Statement of Commissioner Caroline D. Pham on Off-Channel Communications Enforcement Action |
| 09/23/2024 |
You are subscribed to Public Statements and Remarks for CFTC.gov. This information has recently been updated, and is now available. Dissenting Statement of Commissioner Caroline D. Pham on Off-Channel Communications Enforcement ActionCommodity Futures Trading Commission (CFTC) Commissioner Caroline D. Pham today released the following statement on the CFTC’s settlement order regarding Piper Sandler Hedging Services LLC: Click here to view the statement in full. Released: 09/23/2024  |
| CFTC Orders Piper Sandler to Pay $2 Million for Recordkeeping and Supervision Failures for Firm-Wide Use of Unapproved Communication Methods |
| 09/23/2024 |
You are subscribed to Enforcement Press Releases for CFTC.gov. This information has recently been updated, and is now available. CFTC Orders Piper Sandler to Pay $2 Million for Recordkeeping and Supervision Failures for Firm-Wide Use of Unapproved Communication MethodsThe Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against Piper Sandler Hedging Services LLC, an introducing broker, for failing to maintain and preserve records that were required to be kept under CFTC recordkeeping requirements, and failing to diligently supervise matters related to its business as a CFTC registrant. Click here to view the press release in full. Released: 09/23/2024  |
| Correction: |
| 09/23/2024 |
You are subscribed to Enforcement Press Releases for CFTC.gov. This information has recently been updated, and is now available. CFTC Orders Illinois Futures Commission Merchant to Pay More Than $980,000 for Supervision FailuresThe Commodity Futures Trading Commission today issued an order filing and settling charges against NinjaTrader Clearing, LLC dba NinjaTrader, Tradovate and TransAct Futures (NTC), a registered Futures Commission Merchant that operates out of Deer Park, Illinois. Click here to view the press release in full. Released: 09/23/2024  |
| CFTC Announces Four Orders Granting Whistleblower Awards – Marking the Most in a Single Day |
| 09/23/2024 |
You are subscribed to Enforcement Press Releases for CFTC.gov. This information has recently been updated, and is now available. CFTC Announces Four Orders Granting Whistleblower Awards – Marking the Most in a Single DayThe Commodity Futures Trading Commission today announced awards totaling approximately $4.5 million for whistleblowers who, collectively, provided information that led to the success of multiple enforcement actions, brought by the CFTC and another authority. The four orders granting awards, to a total of seven whistleblowers, are the most the CFTC has issued on a single day. Click here to view the press release in full. Released: 09/23/2024  |
