secwatch.observer — SEC 8-K summary
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Issuer:     NASDAQ, INC. (NDAQ)
CIK:        0001120193
Form:       8-K
Filed at:   2022-06-30T23:59:59+00:00
Accession:  0001193125-22-186257
Event type: regulatory
Sentiment:  negative
Materiality: 0.65
Item codes: 8.01
LLM model:  deepseek-v4-flash:cloud@v2

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

Source:
  EDGAR index:    https://www.sec.gov/Archives/edgar/data/1120193/000119312522186257/0001193125-22-186257-index.htm
  Primary doc:    https://www.sec.gov/Archives/edgar/data/1120193/000119312522186257/d349386d8k.htm
  HTML page:      https://secwatch.observer/filing/0001193125-22-186257

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