Code of Federal Regulations · Subpart

Subpart L — Financial Integrity Of Transactions

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

• § 38.600 Core Principle 11
• § 38.601 Mandatory Clearing
• § 38.602 General Financial Integrity
• § 38.603 Protection Of Customer Funds
• § 38.604 Financial Surveillance
• § 38.605 Requirements For Financial Surveillance Program
• § 38.606 Financial Regulatory Services Provided By A Third Party
• § 38.607 Direct Access