Off-Exchange Foreign Currency Transactions

Part 5 of the Commodity Futures Trading Commissions (“Commission”) regulations under the Commodity Exchange Act (“CEA” or “Act”) establishes rules applicable to retail foreign exchange dealers (“RFEDs”), futures commission merchants (“FCMs”), introducing brokers (“IBs”), commodity trading advisors (“CTAs”), and commodity pool operators (“CPOs”) engaged in the offer and sale of off-exchange forex contracts to retail customers. The Part 5 requirements fall into the following general categories: reporting, recordkeeping, and third-party disclosure requirements. Reporting and recordkeeping requirements are necessary to ensure that filers are meeting their obligations as registrants and to assist the Commission in monitoring compliance with Commission regulations. Third-party disclosure requirements were established to promote customer protection.

The latest form for Off-Exchange Foreign Currency Transactions expires 2027-02-28 and is listed under ICR 202312-3038-007.