GroundRules
17 CFR 403.6: Compliance with part by futures commission merchants.
Where this section sits in the code
- Title 17—Commodity and Securities Exchanges
- CHAPTER IV—DEPARTMENT OF THE TREASURY
- SUBCHAPTER A—REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934
- PART 403—PROTECTION OF CUSTOMER SECURITIES AND BALANCES
A registered government securities broker or dealer that is also a futures commission merchant registered with the CFTC shall comply with the provisions of this part with respect to all customer funds and securities except those that are incidental to the broker's or dealer's futures-related business, as defined in § 240.3a43-1(b) of this title. For purposes of the preceding sentence, the term “customer” shall have the meaning set forth in § 240.15c3-3(a)(1) of this title.
Collected 2026-08-27T02:24:31Z. Source file · JSON