Regulatory Notice 08-66
FINRA Addresses Firms’ Retail Foreign Currency Exchange Activities
The retail over-the-counter foreign currency exchange (retail forex) market is opaque, volatile and risky. Broker-dealers who engage in forex business with their retail customers must comply with the FINRA rules that apply to those activities.
Questions regarding this Notice should be directed to Laura Gansler, Associate Vice President, Office of Emerging Regulatory Issues, at (202) 728-8275; or Susan DeMando, Associate Vice President, Member Regulation, at (202) 728-8411.
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