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Code of Federal Regulations (Last Updated: April 5, 2024) |
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Title 17 - Commodity and Securities Exchanges |
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Chapter I - Commodity Futures Trading Commission |
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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. |
| Appendix A to Part 5 - Guideline No. 1; Interpretative Statement Regarding Economic and Public Interest Requirements for Contract Market Designation |
| Appendix B to Part 5 - Schedule of Fees |
| Appendix C to Part 5 - Internal Procedure Regarding Period for Response By Exchanges |
| Appendix D to Part 5 - Internal Procedure Regarding Period for Public Comment |