Compliance With Rules

  1. Law
  2. CFR 17
  3. Commodity and Securities Exchanges
  4. Commodity Futures Trading Commission
  5. Designated Contract Markets
  6. Compliance With Rules

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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.