Regulation of Off-Exchange Retail Foreign Exchange Transactions and Intermediaries (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition)


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The Law Library presents the complete text of the Regulation of Off-Exchange Retail Foreign Exchange Transactions and Intermediaries (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition).
Updated as of May 29, 2018

The Commodity Futures Trading Commission (“Commission” or “CFTC”) is adopting a comprehensive regulatory scheme to implement the provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Wall Street Reform Act”)  (1) and the CFTC Reauthorization Act of 2008 (“CRA”)  (2) with respect to off-exchange transactions in foreign currency with members of the retail public (i.e., “retail forex transactions”). The new regulations and amendments to existing regulations published today establish requirements for, among other things, registration, disclosure, recordkeeping, financial reporting, minimum capital, and other operational standards.

This ebook contains:
– The complete text of the Regulation of Off-Exchange Retail Foreign Exchange Transactions and Intermediaries (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition)
– A dynamic table of content linking to each section
– A table of contents in introduction presenting a general overview of the structure

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Retail Foreign Exchange Transactions (Regulation NN) (US Federal Reserve System Regulation) (FRS) (2018 Edition)


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The Law Library presents the complete text of the Retail Foreign Exchange Transactions (Regulation NN) (US Federal Reserve System Regulation) (FRS) (2018 Edition).
Updated as of May 29, 2018

The Board of Governors of the Federal Reserve System (“Board”) is adopting a final rule to permit banking organizations under its supervision to engage in off-exchange transactions in foreign currency with retail customers. The final rule also describes various requirements with which banking organizations must comply to conduct such transactions.

This ebook contains:
– The complete text of the Retail Foreign Exchange Transactions (Regulation NN) (US Federal Reserve System Regulation) (FRS) (2018 Edition)
– A dynamic table of content linking to each section
– A table of contents in introduction presenting a general overview of the structure

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Retail Foreign Exchange Transactions (US Comptroller of the Currency Regulation) (OCC) (2018 Edition)


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The Law Library presents the complete text of the Retail Foreign Exchange Transactions (US Comptroller of the Currency Regulation) (OCC) (2018 Edition).
Updated as of May 29, 2018

The Office of the Comptroller of the Currency (OCC) is adopting a final rule authorizing national banks, Federal branches and agencies of foreign banks, and their operating subsidiaries to engage in off-exchange transactions in foreign currency with retail customers. The rule also describes various requirements with which national banks, Federal branches and agencies of foreign banks, and their operating subsidiaries must comply to conduct such transactions.

This ebook contains:
– The complete text of the Retail Foreign Exchange Transactions (US Comptroller of the Currency Regulation) (OCC) (2018 Edition)
– A dynamic table of content linking to each section
– A table of contents in introduction presenting a general overview of the structure

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Retail Foreign Exchange Transactions (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition)


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(as of [price_update_date] – Details)

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The Law Library presents the complete text of the Retail Foreign Exchange Transactions (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition).
Updated as of May 29, 2018

Under section 742(c) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), certain foreign exchange transactions with persons who are not “eligible contract participants” (commonly referred to as “retail forex transactions,” and as further defined below) with a registered broker or dealer (“broker-dealer”) will be prohibited as of July 16, 2011, in the absence of the Commission adopting a rule to allow such transactions under terms and conditions prescribed by the Commission. The Commission is adopting interim final temporary Rule 15b12-1T to allow a registered broker-dealer to engage in a retail forex business until July 16, 2012, provided that the broker-dealer complies with the Securities Exchange Act of 1934 (“Exchange Act”), the rules and regulations thereunder, and the rules of the self-regulatory organization(s) of which the broker-dealer is a member (“SRO rules”), insofar as they are applicable to retail forex transactions.

This ebook contains:
– The complete text of the Retail Foreign Exchange Transactions (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition)
– A dynamic table of content linking to each section
– A table of contents in introduction presenting a general overview of the structure

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