Source: https://www.findknowdo.com/search-site?f%5B0%5D=im_field_regulated_products%3A1791
Timestamp: 2019-05-19 09:01:58
Document Index: 233442378

Matched Legal Cases: ['art 5', 'art 5', '§ 5', 'art 3', '§ 5', 'art 4', 'art 4', 'art 5', 'art 4', '§ 5', '§ 1']

CEA Regulation Apply CEA Regulation filter 491
United States Apply United States filter 725
CFTC Apply CFTC filter 296
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Fed. Res. Board / Banks Apply Fed. Res. Board / Banks filter 82
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Options Clearing Corp. Apply Options Clearing Corp. filter 15
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Jurisdiction by Product or Activity Apply Jurisdiction by Product or Activity filter 28
Disclosures to Public Investors Apply Disclosures to Public Investors filter 4
RFDs / FDMs Apply RFDs / FDMs filter 234
FCMs and IBs Apply FCMs and IBs filter 144
SEFs / SBSEFs Apply SEFs / SBSEFs filter 16
Dodd-Frank - Sec. 742. Retail commodity transactions
(a) In General- Section 2(c) of the Commodity Exchange Act (7 U.S.C. 2(c)) is amended-- (1) in paragraph (1), by striking '5a (to the extent provided in section 5a(g)), 5b, 5d, or 12(e)(2)(B))' and inserting ', 5b, or 12(e)(2)(B))'; and (2) in paragraph (2), by adding at the end ...
CFTC Rules Part 5-Off-Exchange Foreign Currency Transactions
Authority: 7 U.S.C. 1a, 2, 6, 6a, 6b, 6c, 6d, 6e, 6f, 6g, 6h, 6i, 6k, 6m, 6n, 6o, 8, 9, 9a, 12, 12a, 13b, 13c, 16a, 18, 19, 21, and 23. CFTC CFTC Part 5 ...
Disclosures to Customers, Jurisdiction by Product or Activity, Registration Requirement, Supervision / Compliance, Trading
CFTC Rule 5.1: Definitions.
(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 amount of liquid assets held in accordance with § 5.8 of this part; (c) Associated person of an affiliated person of a futures ...
CFTC Rule 5.2: Prohibited transactions.
(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 person, by use of the mails or by any means or instrumentality of interstate commerce, directly or indirectly, in or in connection with any ...
Advice and Fiduciary, Misconduct, Sales
FCMs and IBs, RFDs / FDMs, Traders / Investors / Counterparties
CFTC Rule 5.3: Registration of persons engaged in retail forex transactions.
(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 of this chapter: (1) (i) Any affiliated person of a futures commission merchant, as defined in § 5.1(a) of this part, which affiliated person: (A) Solicits or ...
CFTC Rule 5.4: Applicability of part 4 of this chapter to commodity pool operators and commodity trading advisors.
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 or as a commodity trading advisor. Failure by any such person to comply with the requirements of part 4 will constitute a violation of this section and the ...
Legal Enforceability, Registration Requirement
CFTC Rule 5.5: Distribution of “Risk Disclosure Statement” by retail foreign exchange dealers, futures commission merchants and introducing brokers regarding retail forex transactions.
(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 no introducing broker, may open an account that will engage in retail forex transactions for a retail forex customer, unless the retail foreign ...
CFTC Rule 5.6: Maintenance of minimum financial requirements by retail foreign exchange dealers and futures commission merchants offering or engaging in retail forex transactions.
(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 will offer or engage in retail forex transactions and each person registered as a retail foreign exchange dealer or who files an ...
Capital, Early Warning
CFTC Rule 5.7: Minimum financial requirements for retail foreign exchange dealers and futures commission merchants offering or engaging in retail forex transactions.
(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 or in excess of the greatest of: (A) $20,000,000; (B) $20,000,000 plus five percent of the futures commission merchant& ...
CFTC Rule 5.8: Aggregate retail forex assets.
(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 shall at all times hold assets solely of the type permissible under § 1.25 of this chapter equal to or in excess of the ...
CFTC Rule 5.9: Security deposits for retail forex transactions.
(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 forex customer a minimum security deposit for each retail forex transaction equal to the applicable percentage as set by the ...
CFTC Rule 5.12: Financial reports of retail foreign exchange dealers.
(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 filing of such application, either: (i) A Form 1-FR-FCM certified by an independent public accountant as of a date not more ...
CFTC Rule 5.14: Records to be kept by retail foreign exchange dealers and futures commission merchants.
(a) No person shall be registered as a retail foreign exchange dealer under the Act unless, commencing on the date his application for such registration is filed, he prepares and keeps current ledgers or other similar records which show or summarize, with appropriate references to supporting ...
Recordkeeping, Capital Structure
CFTC Rule 5.15: Unlawful representations.
It shall be unlawful for any person registered pursuant to the requirements of this part to represent or imply in any manner whatsoever that such person has been sponsored, recommended or approved, or that its abilities or qualifications have been reviewed or evaluated, by the Commission, the ...
Communications, Misconduct
CFTC Rule 5.16: Prohibition of guarantees against loss.
(a) No retail foreign exchange dealer, futures commission merchant or introducing broker may in any way represent that it will, with respect to any retail foreign exchange transaction in any account carried by a retail foreign exchange dealer or futures commission merchant for or on behalf of any ...