Title 12, Part 351 — Proprietary Trading and Certain Interests in and Relationships With Covered Funds
18 sections
Section 351.1
Authority, purpose, scope, and relationship to other authorities.
Section 351.2
Definitions.
Section 351.3
Prohibition on proprietary trading.
Section 351.4
Permitted underwriting and market making-related activities.
Section 351.5
Permitted risk-mitigating hedging activities.
Section 351.6
Other permitted proprietary trading activities.
Section 351.7
Limitations on permitted proprietary trading activities.
Section 351.8-351.9
§§ 351.8-351.9 [Reserved]
Section 351.10
Prohibition on acquiring or retaining an ownership interest in and having certain relationships with a covered fund.
Section 351.11
Permitted organizing and offering, underwriting, and market making with respect to a covered fund.
Section 351.12
Permitted investment in a covered fund.
Section 351.13
Other permitted covered fund activities and investments.
Section 351.14
Limitations on relationships with a covered fund.
Section 351.15
Other limitations on permitted covered fund activities.
Section 351.16
Ownership of Interests in and Sponsorship of Issuers of Certain Collateralized Debt Obligations Backed by Trust-Preferred Securities.
Section 351.17-351.19
§§ 351.17-351.19 [Reserved]
Section 351.20
Program for compliance; reporting.
Section 351.21
Termination of activities or investments; penalties for violations.