17 CFR Part 255
PART 255—PROPRIETARY TRADING AND CERTAIN INTERESTS IN AND RELATIONSHIPS WITH COVERED FUNDS
- PART 255—PROPRIETARY TRADING AND CERTAIN INTERESTS IN AND RELATIONSHIPS WITH COVERED FUNDS
- Chapter II—Securities and Exchange Commission
- Subpart A—Authority and Definitions
- § 255.1 Authority, purpose, scope, and relationship to other authorities.
- § 255.2 Definitions.
- Subpart B—Proprietary Trading
- § 255.3 Prohibition on proprietary trading.
- § 255.4 Permitted underwriting and market making-related activities.
- § 255.5 Permitted risk-mitigating hedging activities.
- § 255.6 Other permitted proprietary trading activities.
- § 255.7 Limitations on permitted proprietary trading activities.
- §§ 255.8-255.9 [Reserved]
- Subpart C—Covered Funds Activities and Investments
- § 255.10 Prohibition on acquiring or retaining an ownership interest in and having certain relationships with a covered fund.
- § 255.11 Permitted organizing and offering, underwriting, and market making with respect to a covered fund.
- § 255.12 Permitted investment in a covered fund.
- § 255.13 Other permitted covered fund activities and investments.
- § 255.14 Limitations on relationships with a covered fund.
- § 255.15 Other limitations on permitted covered fund activities.
- § 255.16 Ownership of interests in and sponsorship of issuers of certain collateralized debt obligations backed by trust-preferred securities.
- §§ 255.17-255.19 [Reserved]
- Subpart D—Compliance Program Requirement; Violations
- § 255.20 Program for compliance; reporting.
- § 255.21 Termination of activities or investments; penalties for violations.
- Appendix A to Part 255—Reporting and Recordkeeping Requirements for Covered Trading Activities
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