17 CFR 38.711
§ 38.711 Warning letters.
United States · 17 CFR — Commodity and Securities Exchanges · Status: effective
Cite this
- Citation
- 17 CFR 38.711, § 38.711 Warning letters, United States, version 1 as recorded 2026-07-09, yourstate.us, https://yourstate.us/provision/67185
- Permanent ID
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Full text
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.
Legislative history
This is a federal regulation, adopted through agency rulemaking under the Administrative Procedure Act — not enacted by a recorded vote of Congress.