17 CFR Part 5
25 sections.
- § 5.1§ 5.1 Definitions.
- § 5.2§ 5.2 Prohibited transactions.
- § 5.3§ 5.3 Registration of persons engaged in retail forex transactions.
- § 5.4§ 5.4 Applicability of part 4 of this chapter to commodity pool operators and commodity trading advisors.
- § 5.5§ 5.5 Distribution of “Risk Disclosure Statement” by retail foreign exchange dealers, futures commission merchants and introducing brokers regarding retail forex transactions.
- § 5.6§ 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§ 5.7 Minimum financial requirements for retail foreign exchange dealers and futures commission merchants offering or engaging in retail forex transactions.
- § 5.8§ 5.8 Aggregate retail forex assets.
- § 5.9§ 5.9 Security deposits for retail forex transactions.
- § 5.10§ 5.10 Risk assessment recordkeeping requirements for retail foreign exchange dealers.
- § 5.11§ 5.11 Risk assessment reporting requirements for retail foreign exchange dealers.
- § 5.12§ 5.12 Financial reports of retail foreign exchange dealers.
- § 5.13§ 5.13 Reporting to customers of retail foreign exchange dealers and futures commission merchants; monthly and confirmation statements.
- § 5.14§ 5.14 Records to be kept by retail foreign exchange dealers and futures commission merchants.
- § 5.15§ 5.15 Unlawful representations.
- § 5.16§ 5.16 Prohibition of guarantees against loss.
- § 5.17§ 5.17 Authorization to trade.
- § 5.18§ 5.18 Trading and operational standards.
- § 5.19§ 5.19 Pending legal proceedings.
- § 5.20§ 5.20 Special calls for account and transaction information.
- § 5.21§ 5.21 Supervision.
- § 5.22§ 5.22 Registered futures association membership.
- § 5.23§ 5.23 Notice of bulk transfers and bulk liquidations.
- § 5.24§ 5.24 Applicability of other parts of this chapter
- § 5.25§ 5.25 Applicability of the Act.
This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.