Requirements · Financial services

CFTC recordkeeping rules

Commodity Futures Trading Commission regulations 1.31, 1.35 and 23.202. 3 Moraph products list it under “Requirements it supports”. The products support this requirement; meeting it remains your organization’s responsibility.

About the rule

What it is

The Commodity Futures Trading Commission’s regulations require futures commission merchants, swap dealers and other registrants to keep records of their business. Regulation 1.31 sets how required records must be kept and produced, Regulation 1.35 requires records of transactions, including related oral and written communications for many registrants, and Regulation 23.202 sets swap dealers’ trade-record requirements.

Source: 17 CFR 1.31 (eCFR). This summary is for orientation only; read the rule itself or ask your counsel for what it requires of you.

Citations

How the products cite it

The exact wording on the product pages, with how many products use each.

  • CFTC Regulation 1.35 (records of commodity interest and related cash or forward transactions, including oral communications) 1 product
  • CFTC Regulation 1.35 (records of commodity interest transactions) 1 product
  • CFTC Regulation 23.202 (swap dealer daily trading records) 1 product
  • CFTC Rule 1.31 (17 CFR 1.31) regulatory records 1 product

For what it requires of your organization, read the rule itself or ask your counsel.

Products

The 3 products that support it

  • Financial ServicesManaged platform

    Communication Archiving

    WORM (Write Once, Read Many) storage for email/Slack supporting SEC Rule 17a-4(f) "Books and Records" requirements. Recordkeeping and supervision obligations remain your firm's.

    Lists:

    • CFTC Rule 1.31 (17 CFR 1.31) regulatory records
    Product details and demo
  • Financial ServicesMoraph SaaS

    Trade Reconstruction Repository

    Links voice calls, emails, and chat logs to specific trade executions to support "Best Execution" reviews and MiFID II record-keeping. Best execution judgments remain the firm's.

    Lists:

    • CFTC Regulation 1.35 (records of commodity interest transactions)
    Product details and demo
  • Financial ServicesManaged platform

    Voice Recording Compliance

    Recording trader turret phones and mobile calls, timestamped and indexed for compliance.

    Lists:

    • CFTC Regulation 1.35 (records of commodity interest and related cash or forward transactions, including oral communications)
    • CFTC Regulation 23.202 (swap dealer daily trading records)
    Product details and demo

Not sure which requirements apply to you? Request a gap analysis. All requirements: Requirements our products support.

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