Title 17

PART 5

Part 5 - Off-exchange Foreign Currency Transactions

PART 5 - OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS Authority:7 U.S.C. 1a, 2, 6, 6a, 6b, 6c, 6d, 6e, 6f, 6g, 6h, 6i, 6k, 6m, 6n, 6o, 8, 9, 9a, 12, 12a, 13b, 13c, 16a, 18, 19, 21, and 23. Source:75 FR 55432, Sept. 10, 2010, unless otherwise noted.

• Authority: 7 U.S.C. 1a, 2, 6, 6a, 6b, 6c, 6d, 6e, 6f, 6g, 6h, 6i, 6k, 6m, 6n, 6o, 8, 9, 9a, 12, 12a, 13b, 13c, 16a, 18, 19, 21, and 23.
• Source: 75 FR 55432, Sept. 10, 2010, unless otherwise noted.

17:1.0.1.1.5.0.7.1	SECTION 5.1	5.1 Definitions.
17:1.0.1.1.5.0.7.2	SECTION 5.2	5.2 Prohibited transactions.
17:1.0.1.1.5.0.7.3	SECTION 5.3	5.3 Registration of persons engaged in retail forex transactions.
17:1.0.1.1.5.0.7.4	SECTION 5.4	5.4 Applicability of part 4 of this chapter to commodity pool operators and commodity trading advisors.
17:1.0.1.1.5.0.7.5	SECTION 5.5	5.5 Distribution of “Risk Disclosure Statement” by retail foreign exchange dealers, futures commission merchants and introducing brokers regarding retail forex transactions.
17:1.0.1.1.5.0.7.6	SECTION 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.
17:1.0.1.1.5.0.7.7	SECTION 5.7	5.7 Minimum financial requirements for retail foreign exchange dealers and futures commission merchants offering or engaging in retail forex transactions.
17:1.0.1.1.5.0.7.8	SECTION 5.8	5.8 Aggregate retail forex assets.
17:1.0.1.1.5.0.7.9	SECTION 5.9	5.9 Security deposits for retail forex transactions.
17:1.0.1.1.5.0.7.10	SECTION 5.10	5.10 Risk assessment recordkeeping requirements for retail foreign exchange dealers.
17:1.0.1.1.5.0.7.11	SECTION 5.11	5.11 Risk assessment reporting requirements for retail foreign exchange dealers.
17:1.0.1.1.5.0.7.12	SECTION 5.12	5.12 Financial reports of retail foreign exchange dealers.
17:1.0.1.1.5.0.7.13	SECTION 5.13	5.13 Reporting to customers of retail foreign exchange dealers and futures commission merchants; monthly and confirmation statements.
17:1.0.1.1.5.0.7.14	SECTION 5.14	5.14 Records to be kept by retail foreign exchange dealers and futures commission merchants.
17:1.0.1.1.5.0.7.15	SECTION 5.15	5.15 Unlawful representations.
17:1.0.1.1.5.0.7.16	SECTION 5.16	5.16 Prohibition of guarantees against loss.
17:1.0.1.1.5.0.7.17	SECTION 5.17	5.17 Authorization to trade.
17:1.0.1.1.5.0.7.18	SECTION 5.18	5.18 Trading and operational standards.
17:1.0.1.1.5.0.7.19	SECTION 5.19	5.19 Pending legal proceedings.
17:1.0.1.1.5.0.7.20	SECTION 5.20	5.20 Special calls for account and transaction information.
17:1.0.1.1.5.0.7.21	SECTION 5.21	5.21 Supervision.
17:1.0.1.1.5.0.7.22	SECTION 5.22	5.22 Registered futures association membership.
17:1.0.1.1.5.0.7.23	SECTION 5.23	5.23 Notice of bulk transfers and bulk liquidations.
17:1.0.1.1.5.0.7.24	SECTION 5.24	5.24 Applicability of other parts of this chapter
17:1.0.1.1.5.0.7.25	SECTION 5.25	5.25 Applicability of the Act.

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