Subpart C — Compliance with Rules
Core Principle 2 — compliance with rules, including rule enforcement programs, regulatory services, and self-regulatory program oversight.
Sections
§ 38.150 Core Principle 2.high
Core Principle 2
§ 38.151 Access requirements.high
Access requirements
§ 38.152 Abusive trading practices prohibited.high
Abusive trading practices prohibited
§ 38.153 Capacity to detect and investigate rule violations.high
Capacity to detect and investigate rule violations
§ 38.154 Regulatory services provided by a third party.high
Regulatory services provided by a third party
§ 38.155 Compliance staff and resources.high
Compliance staff and resources
§ 38.156 Automated trade surveillance system.high
Automated trade surveillance system
§ 38.157 Real-time market monitoring.high
Real-time market monitoring
§ 38.158 Investigations and investigation reports.high
Investigations and investigation reports
§ 38.159 Ability to obtain information.high
Ability to obtain information
§ 38.160 Additional sources for compliance.high
Additional sources for compliance