Subpart C. Subpart C—Compliance With Rules

• § 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.