Home/CFR/Title 17/Part 5
FEDERAL · 17 CFR

Part 5 — Off-Exchange Foreign Currency Transactions

25 sections · Title 17: Commodity and Securities Exchanges

§ 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.