Commodity Futures Trading Commission February 4, 2005 – Federal Register Recent Federal Regulation Documents

Distribution of “Risk Disclosure Statement” by Futures Commission Merchants and Introducing Brokers
Document Number: 05-1906
Type: Rule
Date: 2005-02-04
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is amending Rule 1.55 to provide that non-institutional customers may indicate with a single signature, in addition to the acknowledgment of receipt of various disclosures and the making of certain elections, the consent referenced in Rules 155.3(b)(2) and 155.4(b)(2) and 155.4(b)(2) concerning customer permission for futures commission merchants (``FCMs'') and introducing brokers (``IBs'') to take the opposite side of an order. The Commission is also amending Rule 1.55(f) to specify that the acknowledgments required by Rules 155.3(b)(2) and 155.4(b)(2) are not required of institutional customers when they open an account.
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.