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Series 34
Series 34 Forex Regulatory Requirements 8 Qs
4
Finance
Professional
07/10/2011
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Term
Regulators
 Definition
CTFC and NFA have authority - except over transactions where parties are not US investors or firms and transactions originate and take place away from US markets
Term
General Registration Requirements
 Definition

People offering to be counterparties to retail forex transactions are required to register with the CTFC

 
Term
Know your client
 Definition
usual info
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