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Title 17

Displaying title 17, up to date as of 7/10/2026. Title 17 was last amended 6/25/2026.
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  1. Title 17 —Commodity and Securities Exchanges
  2. Chapter I —Commodity Futures Trading Commission
  3. Part 1   View Full Text
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Title 17Commodity and Securities ExchangesPart / Section
Chapter ICommodity Futures Trading Commission1 – 199
Part 1General Regulations Under the Commodity Exchange Act1.1 – 1.75
Definitions1.1 – 1.9
§ 1.1 [Reserved]
§ 1.2Liability of principal for act of agent.
§ 1.3Definitions.
§ 1.4Electronic signatures, acknowledgments and verifications.
§ 1.6Anti-evasion.
§ 1.7Books and records requirements for security-based swap agreements.
§ 1.8Requests for interpretation of swaps, security-based swaps, and mixed swaps.
§ 1.9Regulation of mixed swaps.
Minimum Financial and Related Reporting Requirements1.10 – 1.18
§ 1.10Financial reports of futures commission merchants and introducing brokers.
§ 1.11Risk Management Program for futures commission merchants.
§ 1.12Maintenance of minimum financial requirements by futures commission merchants and introducing brokers.
§ 1.13 [Reserved]
§ 1.14Risk assessment recordkeeping requirements for futures commission merchants.
§ 1.15Risk assessment reporting requirements for futures commission merchants.
§ 1.16Qualifications and reports of accountants.
§ 1.17Minimum financial requirements for futures commission merchants and introducing brokers.
§ 1.18Records for and relating to financial reporting and monthly computation by futures commission merchants and introducing brokers.
Prohibited Trading in Commodity Options1.19
§ 1.19Prohibited trading in certain “puts” and “calls”.
Customers' Money, Securities, and Property1.20 – 1.30
§ 1.20Futures customer funds to be segregated and separately accounted for.
§ 1.21Care of money and equities accruing to futures customers.
§ 1.22Use of futures customer funds restricted.
§ 1.23Interest of futures commission merchant in segregated futures customer funds; additions and withdrawals.
§ 1.24Segregated funds; exclusions therefrom.
§ 1.25Investment of customer funds.
§ 1.26Deposit of instruments purchased with futures customer funds.
§ 1.27Record of investments.
§ 1.28Appraisal of instruments purchased with customer funds.
§ 1.29Gains and losses resulting from investment of customer funds.
§ 1.30Loans by futures commission merchants; treatment of proceeds.
Recordkeeping1.31 – 1.39
§ 1.31Regulatory records; retention and production.
§ 1.32Reporting of segregated account computation and details regarding the holding of futures customer funds.
§ 1.33Monthly and confirmation statements.
§ 1.34Monthly record, “point balance”.
§ 1.35Records of commodity interest and related cash or forward transactions.
§ 1.36Record of securities and property received from customers.
§ 1.37Customer's name, address, and occupation recorded; record of guarantor or controller of account.
§ 1.38Execution of transactions.
§ 1.39Simultaneous buying and selling orders of different principals; execution of, for and between principals.
Miscellaneous1.40 – 1.75
§ 1.40Crop, market information letters, reports; copies required.
§ 1.41Designation of hedging accounts.
§ 1.42Delivery accounts.
§ 1.43Letters of credit as collateral.
§ 1.44Margin adequacy and treatment of separate accounts.
§ 1.45 [Reserved]
§ 1.46Application and closing out of offsetting long and short positions.
§§ 1.47-1.48 [Reserved]
§ 1.49Denomination of customer funds and location of depositories.
§§ 1.50-1.51 [Reserved]
§ 1.52Self-regulatory organization adoption and surveillance of minimum financial requirements.
§ 1.53 [Reserved]
§ 1.54Contract market rules submitted to and approved or not disapproved by the Secretary of Agriculture.
§ 1.55Public disclosures by futures commission merchants.
§ 1.56Prohibition of guarantees against loss.
§ 1.57Operations and activities of introducing brokers.
§ 1.58Gross collection of exchange-set margins.
§ 1.59Activities of self-regulatory organization employees, governing board members, committee members, and consultants.
§ 1.60Pending legal proceedings.
§§ 1.61-1.62 [Reserved]
§ 1.63Service on self-regulatory organization governing boards or committees by persons with disciplinary histories.
§ 1.64Composition of various self-regulatory organization governing boards and major disciplinary committees.
§ 1.65Notice of bulk transfers and disclosure obligations to customers.
§ 1.66No-action positions with respect to floor traders.
§ 1.67Notification of final disciplinary action involving financial harm to a customer.
§ 1.68 [Reserved]
§ 1.69Voting by interested members of self-regulatory organization governing boards and various committees.
§ 1.70Notification of State enforcement actions brought under the Commodity Exchange Act.
§ 1.71Conflicts of interest policies and procedures by futures commission merchants and introducing brokers.
§ 1.72Restrictions on customer clearing arrangements.
§ 1.73Clearing futures commission merchant risk management.
§ 1.74Futures commission merchant acceptance for clearing.
§ 1.75Delegation of authority to the Director of the Division of Clearing and Risk to establish an alternative compliance schedule to comply with futures commission merchant acceptance for clearing.
Appendix A to Part 1
Treatment of Certain Foreign Currencies for Margin Adequacy Requirements Under Regulation 1.44
Appendix B to Part 1
Fees for Contract Market Rule Enforcement Reviews and Financial Reviews
Appendix C to Part 1
Futures Commission Merchant Acknowledgment Letter for CFTC Regulation 1.20 Customer Segregated Account
Appendix D to Part 1
Derivatives Clearing Organization Acknowledgment Letter for CFTC Regulation 1.20 Customer Segregated Account
Appendix E to Part 1
Government Money Market Fund Prospectus Provisions Acceptable for Compliance with § 1.25(c)(5)
Appendix F to Part 1
Futures Commission Merchant Acknowledgment Letter for CFTC Regulation 1.26 Customer Segregated Government Money Market Fund Account
Appendix G to Part 1
Derivatives Clearing Organization Acknowledgment Letter for CFTC Regulation 1.26 Customer Segregated Government Money Market Fund Account
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