Code of Federal Regulations (Last Updated: November 8, 2024) |
Title 17 - Commodity and Securities Exchanges |
Chapter II - Securities and Exchange Commission |
Part 255 - Proprietary Trading and Certain Interests in and Relationships With Covered Funds |
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 |
Appendix B to Part 255 - Enhanced Minimum Standards for Compliance Programs |
Appendix Z to Part 255 - Proprietary Trading and Certain Interests in and Relationships With Covered Funds (Alternative Compliance) |