Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Individual Record

Company: Refinitiv US SEF LLC
Penalty: $650,000
Year: 2021
Date: September 27, 2021
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: The Commodity Futures Trading Commission filed and settled charges against Refinitiv US SEF LLC, a registered swap execution facility, for failing to report certain categories of swap data. The order requires Refinitiv to pay a $650,000 civil monetary penalty and comply with certain undertakings.
Level of Government: federal
Action Type: agency action
Agency: Commodity Futures Trading Commission
Civil or Criminal Case: civil
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.