Forex Regulatory Requirements
- CFTC jurisdiction and jurisdictional limitations
- Conflicts of interest
- Disclosures to customers
- Jurisdictional & regulatory framework
- Know your customer
- NFA Interpretive Notice Regarding Forex Transactions
- NFA Interpretive Notice Compliance Rule 2-36(e): Supervision of the Use of Electronic Trading Systems
- NFA Notice to Members: Supervision of Forex Promotional Materials
- NFA membership and associate membership requirements
- Promotional material & solicitation
- Registration requirements
- Reports to customers, confirmations, monthly summaries
- Security deposit rules
- Security of customer funds, no segregation
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