17 CFR 38.605 – Requirements for financial surveillance program
Current as of: 2024 | Check for updates
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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.
Terms Used In 17 CFR 38.605
- Contract: A legal written agreement that becomes binding when signed.