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Open Categories Menu The term “eligible contract participant” is important with regard to managers who provide advice on futures and commodities investments (including off-exchange spot foreign currency or “forex”). In general there are exemptions from various CTA, CPO and IB registration provisions for those managers who only provide advisory services to those clients [...]
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Posts Tagged ‘ eligible contract participant ’
27 January
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Forex
FINRA to Regulate Member’s Retail Forex Activities
Comments on Proposed Retail Forex Rules Sought The Finanacial Industry Regulatory Authority (FINRA) requested comments on a proposed rule to limit the leverage available to retail investors trading in the off-exchange foreign currency (forex) markets. The proposed rule would be applicable to FINRA member firms and would limit leverage in [...]
