Rules & Regulations

Part 4 of this chapter applies to any person required pursuant to the provisions of this part 5 to register as a commodity pool operator ...

(a) Except as provided in §5.23 of this part, no retail foreign exchange dealer, futures commission merchant, or in the case of an introduced account ...

(a) Each futures commission merchant offering or engaging in retail forex transactions or who files an application for registration as a futures commission merchant that ...

(a)(1)(i) Each futures commission merchant offering or engaging in retail forex transactions and each retail foreign exchange dealer must maintain adjusted net capital equal to ...

(a) Each retail foreign exchange dealer and futures commission merchant offering or engaging in retail forex transactions shall calculate its total retail forex obligation and ...

(a) Each futures commission merchant engaging, or offering to engage, in retail forex transactions and each retail foreign exchange dealer must collect from each retail ...

(a) Requirement to maintain and preserve information. (1) Each retail foreign exchange dealer registered with the Commission pursuant to section 2(c)(2)(B)(i)(II)(ff) of the Act shall ...

(a) Reporting requirements with respect to information required to be maintained by §5.10 of this part. (1) Each retail foreign exchange dealer registered with the ...

(a)(1) Each person who files an application for registration as a retail foreign exchange dealer with the National Futures Association shall submit, concurrently with the ...

(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 ...