17 CFR 38.605
§ 38.605 Requirements for financial surveillance program.
United States · 17 CFR — Commodity and Securities Exchanges · Status: effective
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- Citation
- 17 CFR 38.605, § 38.605 Requirements for financial surveillance program, United States, version 1 as recorded 2026-07-09, yourstate.us, https://yourstate.us/provision/67167
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Full text
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.
Legislative history
This is a federal regulation, adopted through agency rulemaking under the Administrative Procedure Act — not enacted by a recorded vote of Congress.