美国券商准备年底交会零售外汇扩展规则

汇商资讯 8年前 (2016) admin
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美国证券交易委员会(sec)在2013年采取了临时措施,临时延长到7月31日。

美国证券交易委员会(SEC)上周提醒代理和经销商,不注册为零售外汇交易商(RFEDs)7月31日之后,他们将不会被允许提供零售外汇业务。
在2008年金融危机之后,多德-弗兰克(dodd – frank)法案发布新规则。零售外汇经纪人和客户在美国只有交易商能够为客户提供零售外汇服务,RFEDs全国期货协会(NFA)注册等。
早在2013年,美国监管机构决定提供一个扩展规则,针对券商如期货事务监察委员会商人(fcm)和代理经销商(BDs)。监管机构采取了过渡规则提供一段时间的经纪人和交易商暂停其零售外汇业务。
扩展规则从弗兰克法案规定之后到2016年7月31日将不再生效,并且会对2011年7月开始使用的BDs和FCMs造成一定影响。根据行业内的言论,美国证券交易委员会(SEC)为公司提供了足够的时间来逐步消化他们的服务零售外汇交易员和投资者。
总的来说,经纪人有五年时间为2016年7月31日的最后日期做准备。目前没有公司提供服务给零售外汇客户了。无疑该规则将会在行业内进一步实施,并且所有券商都应该为这一变化提前准备。
 
U.S. Brokers Well Prepared for End of SEC Retail Forex Extension Rule
The Securities and Exchange Commission has adopted a temporary measure in 2013 as an interim extension till 31st of July

The U.S. Securities and Exchange Commission (SEC) last week reminded brokers and dealers that are not registered as Retail Foreign Exchange Dealers (RFEDs) that after the 31st of July they will not be permitted to provide retail foreign exchange.
In the aftermath of the financial crisis in 2008, the Dodd-Frank bill introduced new rules for retail foreign exchange brokers and clients in the U.S. At the time it became clear that the only brokerages that will be able to provide retail foreign exchange services to clients are the RFEDs registered as such with the National Futures Association (NFA).
Back in 2013 the U.S. regulator took the decision to provide an extension to brokers such as Futures Commission Merchants (FCMs) and Broker Dealers (BDs). The regulator adopted a transitional rule that provided an extended period for the brokers and dealers to suspend their retail forex business.
The extansion will no longer be effective from the 31st of July 2016 after the Dodd Frank rule that affected BDs and FCMs was originally adopted in July 2011. Amid the industry’s remarks, the SEC has provided the companies with enough time to gradually phase out their services to retail forex traders and investors.
In total, brokers had five years to prepare for the final deadline on the 31st of July 2016. Currently none of the companies is offering its services to retail foreign exchange clients. There have been no expectations within the industry that the rule could have been extended further and all brokerages are well prepared for the move.

 
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版权声明:admin 发表于 2016年5月29日 下午 11:13。
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