17 CFR Part 5
OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS
April 15, 2021
§
5.1
Definitions
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5.2
Prohibited transactions
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5.3
Registration of persons engaged in retail forex transactions
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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
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5.8
Aggregate retail forex assets
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5.9
Security deposits for retail forex transactions
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5.10
Risk assessment recordkeeping requirements for retail foreign exchange dealers
§
5.11
Risk assessment reporting requirements for retail foreign exchange dealers
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5.12
Financial reports of retail foreign exchange dealers
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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
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5.15
Unlawful representations
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5.16
Prohibition of guarantees against loss
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5.17
Authorization to trade
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5.18
Trading and operational standards
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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
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5.25
Applicability of the Act
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