Subpart C—Compliance With Rules

1. CFR
2. ›
3. Title 17
4. ›
5. Chapter I
6. ›
7. Part 38
8. ›
9. Subpart C

Sections

• 38.150
  § 38.150 Core Principle 2.
• 38.151
  § 38.151 Access requirements.
• 38.152
  § 38.152 Abusive trading practices prohibited.
• 38.153
  § 38.153 Capacity to detect and investigate rule violations.
• 38.154
  § 38.154 Regulatory services provided by a third party.
• 38.155
  § 38.155 Compliance staff and resources.
• 38.156
  § 38.156 Automated trade surveillance system.
• 38.157
  § 38.157 Real-time market monitoring.
• 38.158
  § 38.158 Investigations and investigation reports.
• 38.159
  § 38.159 Ability to obtain information.
• 38.160
  § 38.160 Additional sources for compliance.