17 CFR Part 75
PART 75—PROPRIETARY TRADING AND CERTAIN INTERESTS IN AND RELATIONSHIPS WITH COVERED FUNDS
- PART 75—PROPRIETARY TRADING AND CERTAIN INTERESTS IN AND RELATIONSHIPS WITH COVERED FUNDS
- Chapter I—Commodity Futures Trading Commission
- Subpart A—Authority and Definitions
- § 75.1 Authority, purpose, scope, and relationship to other authorities.
- § 75.2 Definitions.
- Subpart B—Proprietary Trading
- § 75.3 Prohibition on proprietary trading.
- § 75.4 Permitted underwriting and market making-related activities.
- § 75.5 Permitted risk-mitigating hedging activities.
- § 75.6 Other permitted proprietary trading activities.
- § 75.7 Limitations on permitted proprietary trading activities.
- §§ 75.8-75.9 [Reserved]
- Subpart C—Covered Fund Activities and Investments
- § 75.10 Prohibition on acquiring or retaining an ownership interest in and having certain relationships with a covered fund.
- § 75.11 Permitted organizing and offering, underwriting, and market making with respect to a covered fund.
- § 75.12 Permitted investment in a covered fund.
- § 75.13 Other permitted covered fund activities and investments.
- § 75.14 Limitations on relationships with a covered fund.
- § 75.15 Other limitations on permitted covered fund activities.
- § 75.16 Ownership of interests in and sponsorship of issuers of certain collateralized debt obligations backed by trust-preferred securities.
- §§ 75.17-75.19 [Reserved]
- Subpart D—Compliance Program Requirement; Violations
- § 75.20 Program for compliance; reporting.
- § 75.21 Termination of activities or investments; penalties for violations.
- Appendix A to Part 75—Reporting and Recordkeeping Requirements for Covered Trading Activities
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