PART 5—OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS
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.