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U.S. Code of Federal Regulations
Regulations most recently checked for updates: Sep 16, 2025
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Title 17
Chapter I
Part 38
Subpart L - Subpart L—Financial Integrity of Transactions
§ 38.600 - Core Principle 11.
§ 38.601 - Mandatory clearing.
§ 38.602 - General financial integrity.
§ 38.603 - Protection of customer funds.
§ 38.604 - Financial surveillance.
§ 38.605 - Requirements for financial surveillance program.
§ 38.606 - Financial regulatory services provided by a third party.
§ 38.607 - Direct access.
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