17 CFR 38.605 - Requirements for financial surveillance program.

Regulations last checked for updates: Nov 24, 2024

Title 17 - Commodity and Securities Exchanges last revised: Nov 19, 2024

View all text of Subpart L [§ 38.600 - § 38.607]

§ 38.605 - Requirements for financial surveillance program.

A designated contract market's financial surveillance program for futures commission merchants, retail foreign exchange dealers, and introducing brokers must comply with the requirements of § 1.52 of this chapter to assess the compliance of such entities with applicable contract market rules and Commission regulations.

authority: 7 U.S.C. 1a,2,6,6a,6c,6d,6e,6f,6g,6i,6j,6k,6l,6m,6n,7,7a-2,7b,7b-1,7b-3,8,9,15, and21,as,Pub. L. 111-203, 124 Stat. 1376

source: 66 FR 42277, Aug. 10, 2001, unless otherwise noted.

cite as: 17 CFR 38.605