CFTC Charges 14 Entities for Failing to Register as FCMs or Falsely Claiming to be Registered

The CFTC today filed charges against 14 entities for either failing to register as futures commission merchants (FCMs) or else making false and misleading claims of having CFTC registration and National Futures Association (NFA) membership. Each complaint seeks orders directing the entities to cease and desist from committing violations of the Commodity Exchange Act and CFTC regulations as charged.

Released: 09/29/2021
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