PART 5—OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS
- 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.