Federal (United States) · Regulations
Subpart C — Compliance With Rules
11 sections
11 sections
- 17 C.F.R. § 38.150Core Principle 2.
- 17 C.F.R. § 38.151Access requirements.
- 17 C.F.R. § 38.152Abusive trading practices prohibited.
- 17 C.F.R. § 38.153Capacity to detect and investigate rule violations.
- 17 C.F.R. § 38.154Regulatory services provided by a third party.
- 17 C.F.R. § 38.155Compliance staff and resources.
- 17 C.F.R. § 38.156Automated trade surveillance system.
- 17 C.F.R. § 38.157Real-time market monitoring.
- 17 C.F.R. § 38.158Investigations and investigation reports.
- 17 C.F.R. § 38.159Ability to obtain information.
- 17 C.F.R. § 38.160Additional sources for compliance.