Posts tagged as:

forex lawyer

New Forex Regulations: Overview of Public Comments

February 23, 2010

Leverage, Inaccessibility for Smaller Traders, and Offshore Threat are Focus of Public Comments
As we’ve discussed in related posts, the CFTC has proposed rules regulating the off-exchange spot forex industry (see Retail FOREX Registration Regulations Proposed).  The CFTC has requested comments from the public and there are currently about 100 public comments on CFTC’s website written in response [...]

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FLOORED Film Peeks Inside Chicago Trading World

February 1, 2010

Audience Reacts Positively to James Allen Smith’s Documentary on Chicago Floor Trading
On Thursday evening at the Roxie Theatre in San Francisco, the professional women’s organization 100 Women in Hedge Funds sponsored the showing of Floored, a documentary by ex-floor trader James Allen Smith that offers a peek inside the lives, successes, and struggles of former traders [...]

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Eligible Contract Participant (ECP) Definition

January 15, 2010

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 who fall within the definition [...]

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Discussion with CFTC Regarding Forex Registration

April 10, 2009

[http://www.hedgefundlawblog.com]
No New Information on Forex Regulations
I have been getting more and more questions regarding forex registration and unfortunately I have not had much to say because there has been little information coming from the CFTC.  The NFA has done a good job of anticipating what those rules will generally look like, but the NFA (like [...]

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