17 CFR 38.153
§ 38.153 Capacity to detect and investigate rule violations.
United States · 17 CFR — Commodity and Securities Exchanges · Status: effective
Cite this
- Citation
- 17 CFR 38.153, § 38.153 Capacity to detect and investigate rule violations, United States, version 1 as recorded 2026-07-09, yourstate.us, https://yourstate.us/provision/67121
- Permanent ID
ys:prov:67121@1- SHA-256
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Full text
A designated contract market must have arrangements and resources for effective enforcement of its rules. Such arrangements must include the authority to collect information and documents on both a routine and non-routine basis, including the authority to examine books and records kept by the designated contract market's members and by persons under investigation. A designated contract market's arrangements and resources must also facilitate the direct supervision of the market and the analysis of data collected to determine whether a rule violation occurred.
Legislative history
This is a federal regulation, adopted through agency rulemaking under the Administrative Procedure Act — not enacted by a recorded vote of Congress.