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.
Title 17 published on 2015-04-01.
No entries appear in the Federal Register after this date, for 17 CFR Part 38.