Subpart L — Financial Integrity of Transactions
Core Principle 11 — financial integrity of transactions including clearing, margin, and default procedures.
Sections
§ 38.600 Core Principle 11.high
Core Principle 11
§ 38.601 Mandatory clearing.high
Mandatory clearing
§ 38.602 General financial integrity.high
General financial integrity
§ 38.603 Protection of customer funds.high
Protection of customer funds
§ 38.604 Financial surveillance.high
Financial surveillance
§ 38.605 Requirements for financial surveillance program.high
Requirements for financial surveillance program
§ 38.606 Financial regulatory services provided by a third party.high
Financial regulatory services provided by a third party
§ 38.607 Direct access.high
Direct access