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Retail Foreign Exchange Transactions (Us Securities and Exchange Commission Regulation) (Sec) (2018 Edition) The Law Library

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