Compliance: Important Facts



Compliance: Important Facts

Compliance Rule 2 - 36 (G) at present time extends many of NFA's foreign exchange requirements to otherwise unregulated Participators who solicit for or manage accounts with Forex Dealer Members. A Forex Dealer Member that consistently maintains adjusted net finance similar to or in excess of leastways 150% of its requested minimum money under Financial Requirements Section 11 is exempt from having to pick up the security deposit if it registers written note with NFA. If a corporation claiming the exemption declines under the double fund requirement, this have to immediately report NFA and come back into compliance within 48 hours. Whether this falls lower the required finance number three times in 90 days, it may not state the immunity for six months. Members have license to spread electronic or downloaded copies of the brochure to customers and potential customers in the case, and only in case, they use the entire promulgation as well as do not alter this in anyway.


Forward contract

Fundamental analysis

Limit order

Exchange rates

Exchange market