Nasdaq's NFX subsidiary receives CFTC Wells Notice over 2015-2018 futures exchange conduct

NASDAQ, INC.

NFX, a non-operational Nasdaq unit, received a Wells Notice from CFTC staff.
Notice relates to alleged violations of the Commodity Exchange Act and CFTC rules from July 2015 through October 2018.
NFX sold its futures exchange business in Nov 2019 and ceased operations in 2020.
A Wells Notice is a preliminary staff recommendation, not a formal charge or final determination.
NFX plans to contest the staff's positions in its response.

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