1. LawStack
  2. Title 17 - Commodity and Securities Exchange
  3. Chapter I - COMMODITY FUTURES TRADING COMMISSION
  4. Part 38 - DESIGNATED CONTRACT MARKETS
  5. Subpart N - Disciplinary Procedures
  6. 17 CFR § 38.711
17 CFR § 38.711
Warning letters
April 15, 2021
CFR

Where a rule violation is found to have occurred, no more than one warning letter may be issued per rolling 12-month period for the same violation.

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§ 38.710 Disciplinary sanctions
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§ 38.712 Additional sources for compliance

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