17 CFR Part 38, Subpart C - Compliance With Rules
- § 38.150 Core Principle 2.
- § 38.151 Access requirements.
- § 38.152 Abusive trading practices prohibited.
- § 38.153 Capacity to detect and investigate rule violations.
- § 38.154 Regulatory services provided by a third party.
- § 38.155 Compliance staff and resources.
- § 38.156 Automated trade surveillance system.
- § 38.157 Real-time market monitoring.
- § 38.158 Investigations and investigation reports.
- § 38.159 Ability to obtain information.
- § 38.160 Additional sources for compliance.
Source:
77 FR 36700, June 19, 2012, unless otherwise noted.