21 and derivatives broker have not disclosed that risk, derivatives broker shall disclose such specific risks with any material information that may affect the derivatives trading to the customer prior
material change in value, form, or condition of transactions, including payment and receipts of funds (transaction monitoring); (b) there is doubt concerning the accuracy, up-to-date, reliability, or
circumstance where :- (a) there is a material change in value, form, or condition of transactions, including payment and receipts of funds (transaction monitoring); (b) there is doubt concerning the accuracy, up
a circumstance where :- (a) there is a material change in value, form, or condition of transactions, including payment and receipts of funds (transaction monitoring); (b) there is doubt concerning the
resolution on any material matter, any party may file, through the Office, a motion requesting the arbitrator to additionally make a resolution on such matter within thirty days from the date on which such
arbitrator does not make a resolution on any material matter, any party may file, through the Office, a motion requesting the arbitrator to additionally make a resolution on such matter within thirty days from
, at a minimum, a risk disclosure statement, which contains at least the particulars and material information in accordance with the guidelines for risk disclosure statement prescribed by the SEC Office
to ensure that the client is aware of the risk associated with derivatives trading by preparing, at a minimum, a risk disclosure statement, which contains at least the particulars and material