Regulations last checked for updates: Nov 24, 2024

Title 17 - Commodity and Securities Exchanges last revised: Nov 19, 2024
All TitlesTitle 17Chapter IPart 38Subpart N - Subpart N—Disciplinary Procedures
View all text of Subpart N [§ 38.700 - § 38.712]
§ 38.711 - Warning letters.

Where a rule violation is found to have occurred, no more than one warning letter may be issued per rolling 12-month period for the same violation.

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 38.711
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