Forex Laws & Regulations

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Forex Laws & Regulations

Commodity Exchange Act

Section 2(c)
Section 1a(12)
Section 1a(32)
Section 2(c)(2)(B)(i)(II)
Section 2(c)(2)(B)(i)(II)(cc)(BB)
Section 4c(d)
Section 4f(c)(2)(B)
Section 8a
Section 17
Section 4c
Section 19

NFA Compliance Rules

Compliance Rule 2-43
Compliance Rule 2-9
Compliance Rule 2-10
Compliance Rule 2-29
Compliance Rule 2-34
Compliance Rule 2-36
Compliance Rule 2-38
Compliance Rule 2-39
Compliance Rule 2-40
Compliance Rule 2-41
Compliance Rule 2-42
Compliance Rule 2-44
Compliance Rule 1-1
Compliance Rule 2-46
Compliance Rule 2-45

CFTC Staff Advisories

August 30, 2007
March 1, 2002

CFTC Rules & Regulations

CFTC Regulation 1.10
CFTC Regulation 1.12
CFTC Regulation 1.14
CFTC Regulation 1.15
CFTC Rule 1.17
CFTC Rule 1.25
CFTC Rule 1.49
CFTC Regulation 4.22
CFTC Regulation 4.24
CFTC Regulation 4.25
CFTC Regulation 4.26
CFTC Regulation 4.34
CFTC Regulation 4.35
CFTC Regulation 4.36
CFTC Regulation 30
CFTC Regulation 160.1-160.30

NFA Articles

Article XI, Section 1
Article XVIII, paragraph (k)

NFA Bylaws

Bylaw 306
Bylaw 1101
Bylaw 1301(b)(ii)
Bylaw 1301(e)
Bylaw 1507(b)
Bylaw 1301
Bylaw 1302
Bylaw 1303

NFA Financial Requirements

Section 1
Section 14
Section 15
Section 11
Section 12
Section 13
Section 5

NFA Interpretive Notices

9058 - NFA Compliance Rule 2-40
9060 - Compliance Rule 2-36(e)

NFA Manual Paragraphs

Paragraph 9019
Paragraph 9034
Paragraph 9037
Paragraph 9038
Paragraph 9039
Paragraph 9046
Paragraph 9053
Paragraph 9055
Paragraph 9033

Sarbanes-Oxley Act

Section 102

SEC Rules

Section 6(a)
Section 15A
Section 17(h)
Rule 17h-1T

Forms

NFA Form 1-FR
IRS Form 1099-B
NFA Form 7-R
NFA Form 1 FR-IB Part B
NFA Form 8R
FINRA Form U-10

Miscellaneous

Cash Subordination Loan Agreements and Secured Demand Notes
Bank Secrecy Act (BSA)
FinCen Website

NFA Code of Arbitration

Section 1