Displaying results 51 - 60 of 71
… complaint (involving futures, options on futures, forex or swaps) involving a pending, current, or former NFA … complaint (involving futures, options on futures, forex or swaps) involving a pending, current, or former NFA …
… 30652 (with respect to determining the ECP status of Forex Pools and referring to the External Business Conduct … 30653 n. 656 (with respect to determining the ECP status of Forex Pools) \44\ For example, an entity could demonstrate … 30652 (with respect to determining the ECP status of Forex Pools and referring to the External Business Conduct …
… in CEA sections 2(c)(2)(B) or 2(c)(2)(C) ; \66\ (``retail forex'' and such pools, ``Retail Forex Pools'') no longer qualifies as an ECP for those … (A)(v) to qualify as ECPs instead for purposes of retail forex. Clause (A)(v) of the ECP definition applies to …
… examinations of registrants, particularly foreign currency (Forex)-only FCMs and mid-level FCMs whose sales practices … Review subprogram to increase Commission oversight of Forex-only FCMs and other FCMs of interest, and to augment … program concerning firms engaged in, retail off-exchange Forex transactions; 3) assisting in the Commissions …
… $20 million capital requirement for retail over-the-counter forex firms. … $20 million capital requirement for retail over-the-counter forex firms. …
… $20 million capital requirement for retail over-the-counter forex firms. … $20 million capital requirement for retail over-the-counter forex firms. …
… $20 million capital requirement for retail over-the-counter forex firms. … $20 million capital requirement for retail over-the-counter forex firms. …
… process for futures, commodity options and retail forex intermediaries, as well as for floor traders and floor … (vi) The nature and extent of any pending customer, retail forex customer, option customer, leverage customer, swap … process for futures, commodity options and retail forex intermediaries, as well as for floor traders and floor …
… regulation 1.35, which states ``commodity futures, retail forex transactions, commodity options and cash commodities … ``Commodity interest'' includes commodity futures, retail forex, commodity options, and swaps. See Final Adaptation … 75 FR 55410, 55416 (Sept. 19, 2010) (RFEDs) (``Retail Forex Final Rules''); and Position Limits for Futures and …
… in off-exchange foreign currency transactions with retail forex customers,\68\ $20 million, plus five percent of the FCM's liabilities to the retail forex customers that exceed $10 million; (3) eight percent … \68\ Regulation 5.1(k) defines the term ``retail forex customer'' as a person, other than an eligible …