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Regulations last checked for updates: May 17, 2025
Title 17 - Commodity and Securities Exchanges last revised: Apr 22, 2025
All Titles
Title 17
Chapter I
Part 37
Subpart P - Subpart P—Designation of Chief Compliance Officer
§ 37.1500 - Core Principle 15—Designation of chief compliance officer.
§ 37.1501 - Chief compliance officer.
Appendix Appendix A - Appendix A to Part 37—Form SEF
Appendix Appendix B - Appendix B to Part 37—Guidance on, and Acceptable Practices in, Compliance with Core Principles
authority:
7 U.S.C. 1a
,
2
,
5
,
6
,
6
c,
7
,
7
a-2,
7
b-3,
and
,
as
,
Pub
. L. 111-203, 124 Stat. 1376
source:
78 FR 33582, June 4, 2013, unless otherwise noted.
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