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Futures and some aspects of derivatives are regulated by the Commodity Futures Trading Commission (CFTC). Understanding and complying with security regulation helps businesses avoid litigation with the SEC, state security commissioners, and private parties. Failing to comply can even result in criminal liability. [2]
Labuan Financial Services Authority (Labuan FSA) Qatar: Qatar Financial Centre: Qatar Financial Centre Regulatory Authority (QFCRA) United Arab Emirates: Abu Dhabi Global Market: Financial Services Regulatory Authority (FSRA) United Arab Emirates: Dubai International Financial Center: Dubai Financial Services Authority (DFSA)
Futures contracts for agricultural commodities have been traded in the U.S. for more than 150 years and have been under federal regulation since the 1920s. [7] The Grain Futures Act of 1922 set the basic authority and was changed by the Commodity Exchange Act of 1936 (7 U.S.C. 1 et seq.).
The DME is located in the Dubai International Financial Center (DIFC), (a financial free zone in Dubai), and is regulated by the Dubai Financial Services Authority. The US Commodity Futures Trading Commission (CFTC) issued a "No Action Letter" in 2007, allowing US customers to trade DME contracts. The DME has received further regulatory ...
Commodity Futures Trading Commission Act of 1974; Long title: An Act to amend the Commodity Exchange Act to strengthen the regulation of futures trading, to bring all agricultural and other commodities traded on exchanges under regulation, and for other purposes. Enacted by: the 93rd United States Congress: Effective: October 23, 1974 ...
The thousands of US broker-dealers [11] must all be registered with FINRA or a national securities exchange, or both. Commodity brokers include Futures Commission Merchants, Commodity Trading Advisors and Commodity Pool Operators, which register with the National Futures Association. Firms may register both as a broker-dealer and a commodity ...
However, some countries do regulate forex brokers through governmental and independent supervisory bodies, for example, the National Futures Association and the Commodity Futures Trading Commission in the US, the Australian Securities & Investments Commission in Australia, and the Financial Conduct Authority in the UK. These bodies act as ...
Commodity Exchange Act (ch. 545, 49 Stat. 1491, enacted June 15, 1936) is a federal act enacted in 1936 by the U.S. Government, with some of its provisions amending the Grain Futures Act of 1922. The Act provides federal regulation of all commodities and futures trading activities and requires all futures and commodity options to be traded on ...
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