17 CFR § 403.6 - Compliance with part by futures commission merchants.

---
identifier: "/us/cfr/t17/s403.6"
source: "ecfr"
legal_status: "authoritative_unofficial"
title: "17 CFR § 403.6 - Compliance with part by futures commission merchants."
title_number: 17
title_name: "Commodity and Securities Exchanges"
section_number: "403.6"
section_name: "Compliance with part by futures commission merchants."
chapter_name: "DEPARTMENT OF THE TREASURY"
subchapter_number: "A"
subchapter_name: "REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934"
part_number: "403"
part_name: "PROTECTION OF CUSTOMER SECURITIES AND BALANCES"
positive_law: false
currency: "2026-04-05"
last_updated: "2026-04-05"
format_version: "1.1.0"
generator: "[email protected]"
authority: "Sec. 101, Pub. L. 99-571, 100 Stat. 3209; sec. 4(b), Pub. L. 101-432, 104 Stat. 963; sec. 102, sec. 106, Pub. L. 103-202, 107 Stat. 2344 (15 U.S.C. 78o-5(a)(5), (b)(1)(A), (b)(4))."
regulatory_source: "52 FR 27947, July 24, 1987, unless otherwise noted."
cfr_part: "403"
---


# 403.6 Compliance with part by futures commission merchants.

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.