Title 17

PART 38 SUBPART C

Subpart C - Compliance With Rules Source:77 FR 36700, June 19, 2012, unless otherwise noted.

• 7 U.S.C. 1a, 2, 6, 6a, 6c, 6d, 6e, 6f, 6g, 6i, 6j, 6k, 6l, 6m, 6n, 7, 7a-2, 7b, 7b-1, 7b-3, 8, 9, 15, and 21, as amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act, Pub. L. 111-203, 124 Stat. 1376.
• Source: 66 FR 42277, Aug. 10, 2001, unless otherwise noted.

17:1.0.1.1.31.3.7.1	SECTION 38.150	38.150 Core Principle 2.
17:1.0.1.1.31.3.7.2	SECTION 38.151	38.151 Access requirements.
17:1.0.1.1.31.3.7.3	SECTION 38.152	38.152 Abusive trading practices prohibited.
17:1.0.1.1.31.3.7.4	SECTION 38.153	38.153 Capacity to detect and investigate rule violations.
17:1.0.1.1.31.3.7.5	SECTION 38.154	38.154 Regulatory services provided by a third party.
17:1.0.1.1.31.3.7.6	SECTION 38.155	38.155 Compliance staff and resources.
17:1.0.1.1.31.3.7.7	SECTION 38.156	38.156 Automated trade surveillance system.
17:1.0.1.1.31.3.7.8	SECTION 38.157	38.157 Real-time market monitoring.
17:1.0.1.1.31.3.7.9	SECTION 38.158	38.158 Investigations and investigation reports.
17:1.0.1.1.31.3.7.10	SECTION 38.159	38.159 Ability to obtain information.
17:1.0.1.1.31.3.7.11	SECTION 38.160	38.160 Additional sources for compliance.

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