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SEC RIN: 3235-AL19 Publication ID: Spring 2013 
Title: Retail Foreign Exchange Transactions 
Abstract: The Commission adopted interim final temporary Rule 15b12-1T to maintain the ability of a registered broker-dealer to engage in a retail foreign exchange business until July 16, 2012, provided that the broker-dealer complies with the Exchange Act, the rules and regulations thereunder, and SRO rules, insofar as they are applicable to retail foreign exchange transactions. On July 16, 2012, the interim final rule was extended through July 16, 2013. 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: No  Unfunded Mandates: No 
CFR Citation: 17 CFR 240.15b12-1T   
Legal Authority: 7 USC 2(c)(2)(E)   
Legal Deadline:
Action Source Description Date
Other  Statutory  see description below  07/16/2011 

Overall Description of Deadline: Under section 742(c) of the Dodd Frank Act, registered broker-dealers will be prohibited from engaging in retail foreign exchange transactions as of July 16, 2011 unless the Commission adopts a rule to allow such transactions. The rule is effective through July 16, 2013.

Action Date FR Cite
Interim Final Rule Effective  07/11/2011    
Interim Final Rule  07/15/2011  76 FR 41676   
Interim Final Rule Comment Period End  09/13/2011    
Interim Final Rule Extended  07/16/2012  77 FR 41671   
Corrections  08/20/2012  77 FR 50016   
Interim Final Rule Effective Through  07/00/2013 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL:  
RIN Data Printed in the FR: No 
Related RINs: Related to 3038-AC61, Related to 3064-AD81, Related to 1557-AD42, Related to 7100-AD79 
Agency Contact:
Stephen Benham
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE.,
Washington, DC 20549
Phone:202 551-5539

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