17 CFR Part 5
25 sections.
- § 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
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.