17 CFR 38.600
§ 38.600 Core Principle 11.
United States · 17 CFR — Commodity and Securities Exchanges · Status: effective
Cite this
- Citation
- 17 CFR 38.600, § 38.600 Core Principle 11, United States, version 1 as recorded 2026-07-09, yourstate.us, https://yourstate.us/provision/67162
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Full text
The board of trade shall establish and enforce:
(a) Rules and procedures for ensuring the financial integrity of transactions entered into on or through the facilities of the contract market (including the clearance and settlement of the transactions with a derivatives clearing organization); and
(b) Rules to ensure:
(1) The financial integrity of any:
(i) Futures commission merchant, and
(ii) Introducing broker; and
(2) The protection of customer funds.
Legislative history
This is a federal regulation, adopted through agency rulemaking under the Administrative Procedure Act — not enacted by a recorded vote of Congress.