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Series 34 - The Series 34 Exam

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Forex Regulatory Requirements

by admin on May 31, 2009

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

{ 5 trackbacks }

Forex Regulatory Requirements
June 3, 2009 at 8:29 pm
CFTC jurisdiction and jurisdictional limitations
June 3, 2009 at 8:30 pm
Know Your Customer
June 4, 2009 at 3:33 pm
NFA Interpretive Notice Compliance Rule 2-36(e) - – Supervision of the use of Electronic Trading Systems
June 4, 2009 at 4:21 pm
NFA Interpretive Notice - Forex Transactions
June 4, 2009 at 4:36 pm

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