17 CFR Subpart C
Compliance With Rules
April 15, 2021
§
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
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