Part 5. 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.