Series 3: 7.6.3. CFTC Disciplinary And Dispute Resolution Procedures

Taken from our Series 3 Online Guide

7.6.3. CFTC Disciplinary and Dispute Resolution Procedures

The Commodity Exchange Act gives the CFTC broad authority to investigate and enforce its regulations. The CFTC also may preside over customer complaints that allege a violation of CFTC regulations. The CFTC investigates industry violations through its Division of Enforcement. It handles customer disputes through its Office of Proceedings.

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