Subpart C - COMPLIANCE WITH RULES
- Section 38.150 - Core Principle 2
- Section 38.151 - Access requirements
- Section 38.152 - Abusive trading practices prohibited
- Section 38.153 - Capacity to detect and investigate rule violations
- Section 38.154 - Regulatory services provided by a third party
- Section 38.155 - Compliance staff and resources
- Section 38.156 - Automated trade surveillance system
- Section 38.157 - Real-time market monitoring
- Section 38.158 - Investigations and investigation reports
- Section 38.159 - Ability to obtain information
- Section 38.160 - Additional sources for compliance