Recordkeeping.

CFR · 2024-01-01 · US · Title 12

(a) (1) (i) The name and address of the person for whom the account is carried or introduced and the principal occupation or business of the person; (ii) The name of any other person guaranteeing the account or exercising trading control with respect to the account; (iii) The establishment or termination of the account; (iv) A means to identify the person that has solicited and is responsible for the account; (v) The funds in the account, net of any commissions and fees; (vi) The account's net profits and losses on open trades; (vii) The funds in the account plus or minus the net profits and losses on open trades, adjusted for the net option value in the case of open options positions; (viii) Financial ledger records that show all charges against and credits to the account, including deposits, withdrawals, and transfers, and charges or credits resulting from losses or gains on closed transactions; and (ix) A list of all retail forex transactions executed for the account, with the details specified in paragraph (a)(2) of this section. (2) (i) The date and time the national bank received the order; (ii) The price at which the national bank placed the order, or, in the case of an option, the premium that the retail forex customer paid; (iii) The customer account identification information; (iv) The currency pair; (v) The size or quantity of the order; (vi) Whether the order was a buy or sell order; (vii) The type of order, if the order was not a market order; (viii) The size and

official document · source cfr-2024 · id 12:§ 48.7