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Diane Publishing Books
Futures Markets: Strengthening Sales Practice Oversight
Cecile O. Trop. U.S. futures exchanges & the National Futures Assoc. are responsible for enforcing member firms’ compliance with industry standards for marketing & selling futures products to the public. The Commodity Futures Trading Commission (CFTC) oversees enforcement of sale practices standards to ensure the integrity of the self-regulatory process & to protect investors from sales practice abuse. This report is an evaluation of CFTC oversight of self-regulatory organization monitoring & enforcement of sales practice compliance among futures industry firms. Charts & tables.
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