Code of Federal Regulations · Subpart

Subpart C — Compliance With Rules

17 C.F.R. pt. 38, subpt. C

• § 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