CFTC Orders Interactive Brokers to Pay $20 Million for Recordkeeping, Supervision Failures for Widespread Use of Unapproved Communication Methods
September 30, 2023
September 30, 2023
WASHINGTON, Sept. 30 -- The Commodity Futures Trading Commission issued the following enforcement news release on Sept. 29, 2023:
The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against Interactive Brokers Corp., an introducing broker, and Interactive Brokers LLC, a futures commission merchant, for failing to maintain and preserve records that were required to be kept under CFTC recordkeeping requirements, and failing to dili . . .
The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against Interactive Brokers Corp., an introducing broker, and Interactive Brokers LLC, a futures commission merchant, for failing to maintain and preserve records that were required to be kept under CFTC recordkeeping requirements, and failing to dili . . .