CFTC Orders Chicago-based E*TRADE Securities LLC and E*TRADE Clearing LLC to Pay a $280,000 Civil Monetary Penalty for Failure to Retain Required Records and Failure to Diligently Supervise

The U.S. Commodity Futures Trading Commission (CFTC) issued an Order filing and settling charges against E*TRADE Securities LLC, an Introducing Broker, and E*TRADE Clearing LLC, a Futures Commission Merchant, for non-compliance with applicable record-keeping rules and failure to diligently supervise.