Source: US Commodity Futures Trading Commission
/PressRoom/SpeechesTestimony/phamstatement092324
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September 23, 2024
Washington, DC – Commodity 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:
“Once again, the CFTC has no evidence that a violation of CFTC recordkeeping rules for introducing brokers (IBs) actually occurred.