Client Communications

(a)(1) Except as provided in 1.65, no futures commission merchant, or in the case of an introduced account no introducing broker, may open a commodity ...

(a) Notice and Disclosure to Customers. (1) Prior to transferring a customer account to another futures commission merchant or introducing broker other than at the ...

(a) Except as provided in paragraph (a)(4) or (a)(6) of this section, each commodity pool operator registered or required to be registered under the Act ...

Except as otherwise provided herein, a Disclosure Document must include the following information. (a) Cautionary Statement. The following Cautionary Statement must be prominently displayed on ...

(a) Each commodity trading advisor registered or required to be registered under the Act must deliver or cause to be delivered to a prospective client ...

(a) Monthly statements. Each retail foreign exchange dealer or futures commission merchant must promptly furnish in writing to each retail forex customer, as of the ...

(a)(1) General rule. Except as provided by paragraph (d) of this section, you must provide a clear and conspicuous notice to customers that accurately reflects ...

(a) Every registered management investment company shall file a report on Form N-CSR not later than 10 days after the transmission to stockholders of any report ...

(a) Sending confirmations and notices of allocations. After the effective date of a registration statement, the following are exempt from the provisions of section 5(b)(1) ...

The obligations of a dealer (including an underwriter no longer acting as an underwriter in respect of the security involved in such transactions) to deliver ...