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Compliance With Rules | Midpage
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Code of Federal Regulations
Title 17
Chapter I
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.