Browse Federal regulations

Read the original sections, or search by topic.

17 CFR 4.12 · Exemption from provisions of this part.
17 CFR 4.13 · Exemption from registration as a commodity pool operator.
17 CFR 4.14 · Exemption from registration as a commodity trading advisor.
17 CFR 4.15 · Continued applicability of antifraud section.
17 CFR 4.16 · Prohibited representations.
17 CFR 4.17 · Severability.
17 CFR 4.20 · Prohibited activities.
17 CFR 4.21 · Required delivery of pool Disclosure Document.
17 CFR 4.22 · Reporting to pool participants.
17 CFR 4.23 · Recordkeeping.
17 CFR 4.24 · General disclosures required.
17 CFR 4.25 · Performance disclosures.
17 CFR 4.26 · Use, amendment and filing of Disclosure Document.
17 CFR 4.27 · Additional reporting by commodity pool operators and commodity trading advisors.
17 CFR 4.30 · Prohibited activities.
17 CFR 4.31 · Required delivery of Disclosure Document to prospective clients.
17 CFR 4.32 · [Reserved]
17 CFR 4.33 · Recordkeeping.
17 CFR 4.34 · General disclosures required.
17 CFR 4.35 · Performance disclosures.
17 CFR 4.36 · Use, amendment and filing of Disclosure Document.
17 CFR 4.40 · [Reserved]
17 CFR 4.41 · Advertising by commodity pool operators, commodity trading advisors, and the principals thereof.
17 CFR Appendix A to Part 4 · Appendix A to Part 4—Form CPO-PQR
17 CFR Appendix B to Part 4 · Appendix B to Part 4—Adjustments for Additions and Withdrawals in the Computation of Rate of Return
17 CFR Appendix C to Part 4 · Appendix C to Part 4—Form CTA-PR
17 CFR 5.1 · Definitions.
17 CFR 5.2 · Prohibited transactions.
17 CFR 5.3 · Registration of persons engaged in retail forex transactions.
17 CFR 5.4 · Applicability of part 4 of this chapter to commodity pool operators and commodity trading advisors.
17 CFR 5.5 · Distribution of “Risk Disclosure Statement” by retail foreign exchange dealers, futures commission merchants and introducing brokers regarding retail forex transactions.
17 CFR 5.6 · Maintenance of minimum financial requirements by retail foreign exchange dealers and futures commission merchants offering or engaging in retail forex transactions.
17 CFR 5.7 · Minimum financial requirements for retail foreign exchange dealers and futures commission merchants offering or engaging in retail forex transactions.
17 CFR 5.8 · Aggregate retail forex assets.
17 CFR 5.9 · Security deposits for retail forex transactions.
17 CFR 5.10 · Risk assessment recordkeeping requirements for retail foreign exchange dealers.
17 CFR 5.11 · Risk assessment reporting requirements for retail foreign exchange dealers.
17 CFR 5.12 · Financial reports of retail foreign exchange dealers.
17 CFR 5.13 · Reporting to customers of retail foreign exchange dealers and futures commission merchants; monthly and confirmation statements.
17 CFR 5.14 · Records to be kept by retail foreign exchange dealers and futures commission merchants.
17 CFR 5.15 · Unlawful representations.
17 CFR 5.16 · Prohibition of guarantees against loss.
17 CFR 5.17 · Authorization to trade.
17 CFR 5.18 · Trading and operational standards.
17 CFR 5.19 · Pending legal proceedings.
17 CFR 5.20 · Special calls for account and transaction information.
17 CFR 5.21 · Supervision.
17 CFR 5.22 · Registered futures association membership.
17 CFR 5.23 · Notice of bulk transfers and bulk liquidations.
17 CFR 5.24 · Applicability of other parts of this chapter
17 CFR 5.25 · Applicability of the Act.
17 CFR 7.1 · Scope of rules.
17 CFR 9.1 · Scope of rules.
17 CFR 9.2 · Definitions.
17 CFR 9.3 · Provisions referenced.
17 CFR 9.4 · Filing and service; official docket.
17 CFR 9.5 · Motions.
17 CFR 9.6 · Sanctions for noncompliance.
17 CFR 9.7 · Settlement.
17 CFR 9.8 · Practice before the Commission.
17 CFR 9.9 · Waiver of rules; delegation of authority.
17 CFR 9.10 · [Reserved]
17 CFR 9.11 · Form, contents and delivery of notice of disciplinary or access denial action.
17 CFR 9.12 · Effective date of disciplinary or access denial action.
17 CFR 9.13 · Publication of notice.
17 CFR 9.14-9.19 · §§ 9.14-9.19 [Reserved]
17 CFR 9.20 · Notice of appeal.
17 CFR 9.21 · Record of exchange proceeding.
17 CFR 9.22 · Appeal brief.
17 CFR 9.23 · Answering brief.
17 CFR 9.24 · Petition for stay pending review.
17 CFR 9.25 · Limited participation of interested persons.
17 CFR 9.26 · Participation of Commission staff.
17 CFR 9.27-9.29 · §§ 9.27-9.29 [Reserved]
17 CFR 9.30 · Scope of review.
17 CFR 9.31 · Commission review of disciplinary or access denial action on its own motion.
17 CFR 9.32 · Oral argument.
17 CFR 9.33 · Final decision by the Commission.
17 CFR 10.1 · Scope and applicability of rules of practice.
17 CFR 10.2 · Definitions.
17 CFR 10.3 · Suspension, amendment, revocation and waiver of rules.
17 CFR 10.4 · Business address; hours.
17 CFR 10.5 · Computation of time.
17 CFR 10.6 · Changes in time permitted for filing.
17 CFR 10.7 · Date of entry of orders.
17 CFR 10.8 · Presiding officers.
17 CFR 10.9 · Separation of functions.
17 CFR 10.10 · Ex parte communications.
17 CFR 10.11 · Appearance in adjudicatory proceedings.
17 CFR 10.12 · Service and filing of documents; form and execution.
17 CFR 10.21 · Commencement of the proceeding.
17 CFR 10.22 · Complaint and notice of hearing.
17 CFR 10.23 · Answer.
17 CFR 10.24 · Amendments and supplemental pleadings.
17 CFR 10.25 · Form of pleadings.
17 CFR 10.26 · Motions and other papers.
17 CFR 10.31 · Parties.
17 CFR 10.32 · Substitution of parties.
17 CFR 10.33 · Intervention as a party.
17 CFR 10.34 · Limited participation.