Federal (United States) · Regulations
Subpart L — Financial Integrity of Transactions
8 sections
8 sections
- 17 C.F.R. § 38.600Core Principle 11.
- 17 C.F.R. § 38.601Mandatory clearing.
- 17 C.F.R. § 38.602General financial integrity.
- 17 C.F.R. § 38.603Protection of customer funds.
- 17 C.F.R. § 38.604Financial surveillance.
- 17 C.F.R. § 38.605Requirements for financial surveillance program.
- 17 C.F.R. § 38.606Financial regulatory services provided by a third party.
- 17 C.F.R. § 38.607Direct access.