17 C.F.R. Part 5 – Off-Exchange Foreign Currency Transactions | Midpage

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Code of Federal Regulations

Part 5

17 C.F.R. Part 5

Off-Exchange Foreign Currency Transactions

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