---
kind: "unit"
title: "17"
title_heading: "Commodity and Securities Exchanges"
key: "chI/part1"
level: "part"
label: "Part 1"
heading: "General Regulations under the Commodity Exchange Act"
release: "ecfr-current"
date: "2026-08-27"
url: "https://uscodex.org/cfr/17/chI-part1"
sections_count: 71
---

# Part 1 — General Regulations under the Commodity Exchange Act

Title 17 C.F.R. — Commodity and Securities Exchanges › Chapter I — Commodity Futures Trading Commission

## Sections

- [§1.1. Reserved](/cfr/17/1.1.md)
- [§1.2. Liability of principal for act of agent.](/cfr/17/1.2.md)
- [§1.3. Definitions.](/cfr/17/1.3.md)
- [§1.4. Electronic signatures, acknowledgments and verifications.](/cfr/17/1.4.md)
- [§1.6. Anti-evasion.](/cfr/17/1.6.md)
- [§1.7. Books and records requirements for security-based swap agreements.](/cfr/17/1.7.md)
- [§1.8. Requests for interpretation of swaps, security-based swaps, and mixed swaps.](/cfr/17/1.8.md)
- [§1.9. Regulation of mixed swaps.](/cfr/17/1.9.md)
- [§1.10. Financial reports of futures commission merchants and introducing brokers.](/cfr/17/1.10.md)
- [§1.11. Risk Management Program for futures commission merchants.](/cfr/17/1.11.md)
- [§1.12. Maintenance of minimum financial requirements by futures commission merchants and introducing brokers.](/cfr/17/1.12.md)
- [§1.13. Reserved](/cfr/17/1.13.md)
- [§1.14. Risk assessment recordkeeping requirements for futures commission merchants.](/cfr/17/1.14.md)
- [§1.15. Risk assessment reporting requirements for futures commission merchants.](/cfr/17/1.15.md)
- [§1.16. Qualifications and reports of accountants.](/cfr/17/1.16.md)
- [§1.17. Minimum financial requirements for futures commission merchants and introducing brokers.](/cfr/17/1.17.md)
- [§1.18. Records for and relating to financial reporting and monthly computation by futures commission merchants and introducing brokers.](/cfr/17/1.18.md)
- [§1.19. Prohibited trading in certain “puts” and “calls”.](/cfr/17/1.19.md)
- [§1.20. Futures customer funds to be segregated and separately accounted for.](/cfr/17/1.20.md)
- [§1.21. Care of money and equities accruing to futures customers.](/cfr/17/1.21.md)
- [§1.22. Use of futures customer funds restricted.](/cfr/17/1.22.md)
- [§1.23. Interest of futures commission merchant in segregated futures customer funds; additions and withdrawals.](/cfr/17/1.23.md)
- [§1.24. Segregated funds; exclusions therefrom.](/cfr/17/1.24.md)
- [§1.25. Investment of customer funds.](/cfr/17/1.25.md)
- [§1.26. Deposit of instruments purchased with futures customer funds.](/cfr/17/1.26.md)
- [§1.27. Record of investments.](/cfr/17/1.27.md)
- [§1.28. Appraisal of instruments purchased with customer funds.](/cfr/17/1.28.md)
- [§1.29. Gains and losses resulting from investment of customer funds.](/cfr/17/1.29.md)
- [§1.30. Loans by futures commission merchants; treatment of proceeds.](/cfr/17/1.30.md)
- [§1.31. Regulatory records; retention and production.](/cfr/17/1.31.md)
- [§1.32. Reporting of segregated account computation and details regarding the holding of futures customer funds.](/cfr/17/1.32.md)
- [§1.33. Monthly and confirmation statements.](/cfr/17/1.33.md)
- [§1.34. Monthly record, “point balance”.](/cfr/17/1.34.md)
- [§1.35. Records of commodity interest and related cash or forward transactions.](/cfr/17/1.35.md)
- [§1.36. Record of securities and property received from customers.](/cfr/17/1.36.md)
- [§1.37. Customer's name, address, and occupation recorded; record of guarantor or controller of account.](/cfr/17/1.37.md)
- [§1.38. Execution of transactions.](/cfr/17/1.38.md)
- [§1.39. Simultaneous buying and selling orders of different principals; execution of, for and between principals.](/cfr/17/1.39.md)
- [§1.40. Crop, market information letters, reports; copies required.](/cfr/17/1.40.md)
- [§1.41. Designation of hedging accounts.](/cfr/17/1.41.md)
- [§1.42. Delivery accounts.](/cfr/17/1.42.md)
- [§1.43. Letters of credit as collateral.](/cfr/17/1.43.md)
- [§1.44. Margin adequacy and treatment of separate accounts.](/cfr/17/1.44.md)
- [§1.45. Reserved](/cfr/17/1.45.md)
- [§1.46. Application and closing out of offsetting long and short positions.](/cfr/17/1.46.md)
- [§1.47-1.48. Reserved](/cfr/17/1.47-1.48.md)
- [§1.49. Denomination of customer funds and location of depositories.](/cfr/17/1.49.md)
- [§1.50-1.51. Reserved](/cfr/17/1.50-1.51.md)
- [§1.52. Self-regulatory organization adoption and surveillance of minimum financial requirements.](/cfr/17/1.52.md)
- [§1.53. Reserved](/cfr/17/1.53.md)
- [§1.54. Contract market rules submitted to and approved or not disapproved by the Secretary of Agriculture.](/cfr/17/1.54.md)
- [§1.55. Public disclosures by futures commission merchants.](/cfr/17/1.55.md)
- [§1.56. Prohibition of guarantees against loss.](/cfr/17/1.56.md)
- [§1.57. Operations and activities of introducing brokers.](/cfr/17/1.57.md)
- [§1.58. Gross collection of exchange-set margins.](/cfr/17/1.58.md)
- [§1.59. Activities of self-regulatory organization employees, governing board members, committee members, and consultants.](/cfr/17/1.59.md)
- [§1.60. Pending legal proceedings.](/cfr/17/1.60.md)
- [§1.61-1.62. Reserved](/cfr/17/1.61-1.62.md)
- [§1.63. Service on self-regulatory organization governing boards or committees by persons with disciplinary histories.](/cfr/17/1.63.md)
- [§1.64. Composition of various self-regulatory organization governing boards and major disciplinary committees.](/cfr/17/1.64.md)
- [§1.65. Notice of bulk transfers and disclosure obligations to customers.](/cfr/17/1.65.md)
- [§1.66. No-action positions with respect to floor traders.](/cfr/17/1.66.md)
- [§1.67. Notification of final disciplinary action involving financial harm to a customer.](/cfr/17/1.67.md)
- [§1.68. Reserved](/cfr/17/1.68.md)
- [§1.69. Voting by interested members of self-regulatory organization governing boards and various committees.](/cfr/17/1.69.md)
- [§1.70. Notification of State enforcement actions brought under the Commodity Exchange Act.](/cfr/17/1.70.md)
- [§1.71. Conflicts of interest policies and procedures by futures commission merchants and introducing brokers.](/cfr/17/1.71.md)
- [§1.72. Restrictions on customer clearing arrangements.](/cfr/17/1.72.md)
- [§1.73. Clearing futures commission merchant risk management.](/cfr/17/1.73.md)
- [§1.74. Futures commission merchant acceptance for clearing.](/cfr/17/1.74.md)
- [§1.75. Delegation 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.](/cfr/17/1.75.md)