# 17 CFR § 5.4: Applicability of part 4 of this chapter to commodity pool operators and commodity trading advisors

> Federal · Regulations · In force

URL: https://www.frixlaw.com/law-library/statutes/ecfr-17-5.4

## Section

- **Citation:** 17 CFR § 5.4
- **Heading:** Applicability of part 4 of this chapter to commodity pool operators and commodity trading advisors
- **Jurisdiction:** Federal
- **Kind:** Regulations
- **Status:** In force
- **Text as of:** September 22, 2026
- **Source:** Publisher's official text
- **Location:** Title 17—Commodity and Securities Exchanges > CHAPTER I—COMMODITY FUTURES TRADING COMMISSION > PART 5—OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS

## Text

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 relevant section of part 4.

## Nearby sections

- [17 CFR § 2.1 § 2.1 Description.](https://www.frixlaw.com/law-library/statutes/ecfr-17-2.1.md)
- [17 CFR § 5.2 § 5.2 Prohibited transactions.](https://www.frixlaw.com/law-library/statutes/ecfr-17-5.2.md)
- [17 CFR § 5.4 § 5.4 Applicability of part 4 of this chapter to commodity pool operators and commodity trading advisors.](https://www.frixlaw.com/law-library/statutes/ecfr-17-5.4.md)
- [17 CFR § 5.5 § 5.5 Distribution of “Risk Disclosure Statement” by retail foreign exchange dealers, futures commission merchants and introducing brokers regarding retail forex transactions.](https://www.frixlaw.com/law-library/statutes/ecfr-17-5.5.md)
- [17 CFR § 5.6 § 5.6 Maintenance of minimum financial requirements by retail foreign exchange dealers and futures commission merchants offering or engaging in retail forex transactions.](https://www.frixlaw.com/law-library/statutes/ecfr-17-5.6.md)
- [17 CFR § 5.7 § 5.7 Minimum financial requirements for retail foreign exchange dealers and futures commission merchants offering or engaging in retail forex transactions.](https://www.frixlaw.com/law-library/statutes/ecfr-17-5.7.md)
- [17 CFR § 5.10 § 5.10 Risk assessment recordkeeping requirements for retail foreign exchange dealers.](https://www.frixlaw.com/law-library/statutes/ecfr-17-5.10.md)
- [17 CFR § 5.11 § 5.11 Risk assessment reporting requirements for retail foreign exchange dealers.](https://www.frixlaw.com/law-library/statutes/ecfr-17-5.11.md)
- [17 CFR § 5.12 § 5.12 Financial reports of retail foreign exchange dealers.](https://www.frixlaw.com/law-library/statutes/ecfr-17-5.12.md)
- [17 CFR § 5.13 § 5.13 Reporting to customers of retail foreign exchange dealers and futures commission merchants; monthly and confirmation statements.](https://www.frixlaw.com/law-library/statutes/ecfr-17-5.13.md)
- [17 CFR § 5.17 § 5.17 Authorization to trade.](https://www.frixlaw.com/law-library/statutes/ecfr-17-5.17.md)
- [17 CFR § 5.18 § 5.18 Trading and operational standards.](https://www.frixlaw.com/law-library/statutes/ecfr-17-5.18.md)
- [17 CFR § 5.19 § 5.19 Pending legal proceedings.](https://www.frixlaw.com/law-library/statutes/ecfr-17-5.19.md)
- [17 CFR § 5.20 § 5.20 Special calls for account and transaction information.](https://www.frixlaw.com/law-library/statutes/ecfr-17-5.20.md)

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Source: Frix Law Library, https://www.frixlaw.com/law-library/statutes/ecfr-17-5.4. Check the current official text before relying on it. Not legal advice.