Rules & Regulations

(a) Except as provided in paragraph (b) of this section, no commodity trading advisor may solicit, accept or receive from an existing or prospective client ...

(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 ...

Each commodity trading advisor registered or required to be registered under the Act must make and keep the following books and records in an accurate, ...

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) General principles—(1) Capsule performance information. Unless otherwise specified, disclosure of the past performance of an account or trading program required under this §4.35 must ...

(a) Subject to paragraph (c) of this section, all information contained in the Disclosure Document must be current as of the date of the Document; ...

(a) No commodity pool operator, commodity trading advisor, or any principal thereof, may advertise in a manner which: (1) Employs any device, scheme or artifice ...

(a) Affiliated person of a futures commission merchant means a person described in section 2(c)(2)(B)(i)(II)(cc)(BB) of the Act; (b) Aggregate retail forex assets means an ...

(a) Scope. The provisions of this section shall be applicable to any retail forex transaction. (b) Fraudulent conduct prohibited. It shall be unlawful for any ...

(a) Subject to paragraph (b) of this section, each of the following is subject to the registration provisions under the Act and to part 3 ...