17 CFR Part 5
PART 5—OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS
- PART 5—OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS
- Chapter I—Commodity Futures Trading Commission
- § 5.1 Definitions.
- § 5.2 Prohibited transactions.
- § 5.3 Registration of persons engaged in retail forex transactions.
- § 5.4 Applicability of part 4 of this chapter to commodity pool operators and commodity trading advisors.
- § 5.5 Distribution of “Risk Disclosure Statement” by retail foreign exchange dealers, futures commission merchants and introducing brokers regarding retail forex transactions.
- § 5.6 Maintenance of minimum financial requirements by retail foreign exchange dealers and futures commission merchants offering or engaging in retail forex transactions.
- § 5.7 Minimum financial requirements for retail foreign exchange dealers and futures commission merchants offering or engaging in retail forex transactions.
- § 5.8 Aggregate retail forex assets.
- § 5.9 Security deposits for retail forex transactions.
- § 5.10 Risk assessment recordkeeping requirements for retail foreign exchange dealers.
- § 5.11 Risk assessment reporting requirements for retail foreign exchange dealers.
- § 5.12 Financial reports of retail foreign exchange dealers.
- § 5.13 Reporting to customers of retail foreign exchange dealers and futures commission merchants; monthly and confirmation statements.
- § 5.14 Records to be kept by retail foreign exchange dealers and futures commission merchants.
- § 5.15 Unlawful representations.
- § 5.16 Prohibition of guarantees against loss.
- § 5.17 Authorization to trade.
- § 5.18 Trading and operational standards.
- § 5.19 Pending legal proceedings.
- § 5.20 Special calls for account and transaction information.
- § 5.21 Supervision.
- § 5.22 Registered futures association membership.
- § 5.23 Notice of bulk transfers and bulk liquidations.
- § 5.24 Applicability of other parts of this chapter
- § 5.25 Applicability of the Act.
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