§ 38.150 Core Principle 2
§ 38.151 Access requirements
§ 38.152 Abusive trading practices prohibited
§ 38.153 Capacity to detect and investigate rule violations
§ 38.154 Regulatory services provided by a third party
§ 38.155 Compliance staff and resources
§ 38.156 Automated trade surveillance system
§ 38.157 Real-time market monitoring
§ 38.158 Investigations and investigation reports
§ 38.159 Ability to obtain information
§ 38.160 Additional sources for compliance

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Terms Used In CFR > Title 17 > Chapter I > Part 38 > Subpart C - Compliance With Rules

  • Complaint: A written statement by the plaintiff stating the wrongs allegedly committed by the defendant.
  • Continuance: Putting off of a hearing ot trial until a later time.
  • Dismissal: The dropping of a case by the judge without further consideration or hearing. Source:
  • Entitlement: A Federal program or provision of law that requires payments to any person or unit of government that meets the eligibility criteria established by law. Entitlements constitute a binding obligation on the part of the Federal Government, and eligible recipients have legal recourse if the obligation is not fulfilled. Social Security and veterans' compensation and pensions are examples of entitlement programs.
  • Obligation: An order placed, contract awarded, service received, or similar transaction during a given period that will require payments during the same or a future period.
  • Remainder: An interest in property that takes effect in the future at a specified time or after the occurrence of some event, such as the death of a life tenant.
  • Rescission: The cancellation of budget authority previously provided by Congress. The Impoundment Control Act of 1974 specifies that the President may propose to Congress that funds be rescinded. If both Houses have not approved a rescission proposal (by passing legislation) within 45 days of continuous session, any funds being withheld must be made available for obligation.
  • Statute: A law passed by a legislature.
  • Transcript: A written, word-for-word record of what was said, either in a proceeding such as a trial or during some other conversation, as in a transcript of a hearing or oral deposition.