Final Rule
Retail Foreign Exchange Transactions
Overview
The Commission is adopting a rule to permit a registered broker-dealer to engage in a retail forex business, provided that the broker-dealer complies with the Securities Exchange Act of 1934, the rules and regulations thereunder, and the rules of the self-regulatory organization(s) of which the broker-dealer is a member insofar as they are applicable to retail forex transactions. The Commission is adopting Rule 15b12-1 substantially in the form previously adopted as an interim final temporary rule and is providing that the rule will expire on July 31, 2016.
Prior Actions
Final Rule (34-69964)
Release Number
34-69964
SEC Issue Date
July 11, 2013
Federal Register Publish Date
July 16, 2013
Document Citation
78 FR 42439
RIN
3235-AL19
Interim Final Rule (34-64874)
Release Number
34-64874
SEC Issue Date
July 13, 2011
Federal Register Publish Date
July 15, 2011
Document Citation
76 FR 41676
RIN
3235-AL19
Interim Final Rule (34-67405)
Release Number
34-67405
SEC Issue Date
July 11, 2012
Federal Register Publish Date
July 16, 2012
Document Citation
77 FR 41671
RIN
3235-AL19
Details
File Number
S7-30-11
Rule Type
Final
Release Number
34-77874
SEC Issue Date
May 20, 2016
Effective Date
May 26, 2016
Federal Register Publish Date
May 26, 2016
Document Citation
81 FR 33374
RIN
3235-AL19