17 CFR Part 5 - OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS

  1. § 5.1 Definitions.
  2. § 5.2 Prohibited transactions.
  3. § 5.3 Registration of persons engaged in retail forex transactions.
  4. § 5.4 Applicability of part 4 of this chapter to commodity pool operators and commodity trading advisors.
  5. § 5.5 Distribution of “Risk Disclosure Statement” by retail foreign exchange dealers, futures commission merchants and introducing brokers regarding retail forex transactions.
  6. § 5.6 Maintenance of minimum financial requirements by retail foreign exchange dealers and futures commission merchants offering or engaging in retail forex transactions.
  7. § 5.7 Minimum financial requirements for retail foreign exchange dealers and futures commission merchants offering or engaging in retail forex transactions.
  8. § 5.8 Aggregate retail forex assets.
  9. § 5.9 Security deposits for retail forex transactions.
  10. § 5.10 Risk assessment recordkeeping requirements for retail foreign exchange dealers.
  11. § 5.11 Risk assessment reporting requirements for retail foreign exchange dealers.
  12. § 5.12 Financial reports of retail foreign exchange dealers.
  13. § 5.13 Reporting to customers of retail foreign exchange dealers and futures commission merchants; monthly and confirmation statements.
  14. § 5.14 Records to be kept by retail foreign exchange dealers and futures commission merchants.
  15. § 5.15 Unlawful representations.
  16. § 5.16 Prohibition of guarantees against loss.
  17. § 5.17 Authorization to trade.
  18. § 5.18 Trading and operational standards.
  19. § 5.19 Pending legal proceedings.
  20. § 5.20 Special calls for account and transaction information.
  21. § 5.21 Supervision.
  22. § 5.22 Registered futures association membership.
  23. § 5.23 Notice of bulk transfers and bulk liquidations.
  24. § 5.24 Applicability of other parts of this chapter
  25. § 5.25 Applicability of the Act.
Authority:
7 U.S.C. 1a, 2, 6, 6a, 6b, 6c, 6d, 6e, 6f, 6g, 6h, 6i, 6k, 6m, 6n, 6o, 8, 9, 9a, 12, 12a, 13b, 13c, 16a, 18, 19, 21, and 23.
Source:
75 FR 55432, Sept. 10, 2010, unless otherwise noted.
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