Forex transaction: a leveraged transaction that is made off-exchange on behalf of a customer/investor. Counterparty: an authorized entity that engages in a forex transaction with a customer/investor. The most common authorized counterparties are U.S. financial institutions and banks, financial holding companies, futures commission merchants (FCMs) and real foreign exchange dealers (RFEDs). An entity that solicits or accepts orders to buy or sell futures contracts, options on futures, retail off-exchange forex contracts or swaps, and accepts money or other assets from customers to support such orders. Introducing Broker (IB) An individual or organization that solicits or accepts orders to buy or sell futures contracts, forex, commodity options, or swaps but does not accept money ... The Department of Justice's ... If the banking institution states that it reserves its right to set off obligations of the retail forex customer arising from the customer's retail forex transactions against the customer's other assets, the banking institution must receive from the retail forex customer a written acknowledgement signed and dated by the customer that the customer received and ... On August 30, the Commodity Futures Trading Commission (CFTC) announced the issuance of its longanticipated final rules for off-exchange foreign currency transactions (forex) with retail customers. Retail Foreign Exchange Dealer (RFED) A retail foreign exchange dealer (RFED) is an organization that acts, or offers to act, as a counterparty to an off-exchange non-U.S. currency transaction with a person who is not an eligible contract participant and the transaction is either: He has been a National Futures Association Associate Member since April 21, 2010 and a Forex Associated Person since October 28, 2010. Seung Kim has passed the Series 3, National Commodity Futures Examination; the Series 34, Retail Off-Exchange Forex Examination; and the Series 65, Uniform Registered Investment Adviser Examination. Mr. Kim graduated summa cum laude from the University of ... Retail Off-Exchange Forex Exam S63. Series 63 updated Uniform Securities Agent State Law Exam S65. Series 65 updated NASAA-Investment Advisors Law Exam S66. Series 66 updated NASAA-Uniform Combined State Law Exam S99. Series 99 Operations Professional Representative Exam more below . Let us help you find the perfect solution. ... Find helpful customer reviews and review ratings for Passing the Series 34 Retail Off-Exchange Forex Examination at Amazon.com. Read honest and unbiased product reviews from our users. 11. Regulation of Off-Exchange Retail Foreign Exchange Transactions and Intermediaries, 75 FR 55409 (Sept. 10, 2010) (Final CFTC Retail Forex Rule). The CFTC proposed these rules prior to the enactment of the Dodd-Frank Act. The Series 34 exam—the Retail Off-Exchange Forex Examination—is a National Futures Association (NFA) exam administered by FINRA. The exam consists of 40 scored questions. Candidates have one hour to complete the exam. The passing score is 70%. For additional information about this exam, including the content outline, please visit the National Futures Association Proficiency Exam page.
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