Standards for banking organizations regulated by the Federal Reserve for Retail Forex are generally comparable to rules adopted by other regulators. ...more
4/25/2013 - Banking Industry Regulations Disclosure Requirements Dispute Resolution Dodd-Frank Eligible Contract Participant Federal Reserve Final Rules Forex
Final rules require tape recording by futures commission merchants, introducing brokers, retail foreign exchange dealers, and commodity trading advisors; affected CFTC registrants must implement systems to comply by December...more
1/4/2013 - Broker-Dealer CFTC Commodities Compliance Foreign Exchanges Recordkeeping Requirements Tape Recordings
Order grants exemptive relief from Exchange Act requirements; parallel CFTC relief expected soon. On December 14, the Securities and Exchange Commission (SEC) issued an order granting exemptive relief (Exemptive Order)...more
12/31/2012 - Broker-Dealer CEA CFTC Derivatives Clearing Organizations Exemptive Orders SEC Swaps
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