Customer protection
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Most Cited Entries
- Registration of Swap Dealers and Major Swap Participants
11/23/2010; 19 citations - Registration of Swap Dealers and Major Swap Participants
01/19/2012; 12 citations - Regulation of Off-Exchange Retail Foreign Exchange Transactions and Intermediaries
09/10/2010; 12 citations - Additional Registration and Other Regulatory Relief for Commodity Pool Operators and Commodity Trading Advisors; Past Performance Issues
08/08/2003; 3 citations - Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations
11/14/2012; 1 citation
Agencies Using this Topic
Entry Types for Topic
Related Topics
- Reporting and recordkeeping requirements (10)
- Commodity futures (9)
- Advertising (6)
- Brokers (5)
- Registration (5)
- Swap dealers (4)
- Major swap participants (4)
- Commodity pool operators (4)
- Commodity trading advisors (4)
- Swaps (3)
- Licensing (3)
- Definitions (3)
- Associated persons (3)
- Commodity options (2)
- Consumer protection (2)
- Authority delegations (government agencies) (2)
- Prohibited transactions in commodity options (2)
- Organization and functions (government agencies) (2)
- Privacy (1)
- Currency (1)
- Clearing (1)
- Litigation (1)
- Membership (1)
- Arbitration (1)
- Reparations (1)
- Sunshine act (1)
- Miscellaneous (1)
- Special calls (1)
- Bulk transfers (1)
- Risk assessment (1)
- Security futures (1)
- Customer's money (1)
- Foreign exchange (1)
- Rules of practice (1)
- Trading practices (1)
- Dispute settlement (1)
- Conflict of interests (1)
- Freedom of information (1)
- Authorization to trade (1)
- Securities and property (1)
- Adjudicatory proceedings (1)
- Recordkeeping requirements (1)
- Exemption from registration (1)
- Consumer financial information (1)
- Nonpublic personal information (1)
- Retail foreign exchange dealers (1)
- Registered futures associations (1)
- Confidential business information (1)
- Authority delgations (government agencies (1)
- Minimum financial and reporting requirements (1)
