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U.S. Code of Federal Regulations

Regulations most recently checked for updates: Oct 07, 2025

All TitlesTitle 17Chapter IPart 37Subpart P - Subpart P—Designation of Chief Compliance Officer
§ 37.1500 - Core Principle 15—Designation of chief compliance officer.
§ 37.1501 - Chief compliance officer.
Appendix Appendix A - Appendix A to Part 37—Form SEF
Appendix Appendix B - Appendix B to Part 37—Guidance on, and Acceptable Practices in, Compliance with Core Principles
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