Title 12

PART 44

Part 44 - Proprietary Trading And Certain Interests In And Relationships With Covered Funds

PART 44 - PROPRIETARY TRADING AND CERTAIN INTERESTS IN AND RELATIONSHIPS WITH COVERED FUNDS Authority:7 U.S.C. 27 et seq., 12 U.S.C. 1, 24, 92a, 93a, 161, 1461, 1462a, 1463, 1464, 1467a, 1813(q), 1818, 1851, 3101 3102, 3108, 5412. Source:79 FR 5779, 5804, Jan. 31, 2014, unless otherwise noted.

• Authority: 7 U.S.C. 27 et seq., 12 U.S.C. 1, 24, 92a, 93a, 161, 1461, 1462a, 1463, 1464, 1467a, 1813(q), 1818, 1851, 3101 3102, 3108, 5412.
• Source: 79 FR 5779, 5804, Jan. 31, 2014, unless otherwise noted.

12:1.0.1.1.39.1	SUBPART A	Subpart A - Authority and Definitions
12:1.0.1.1.39.1.28.1	SECTION 44.1	44.1 Authority, purpose, scope, and relationship to other authorities.
12:1.0.1.1.39.1.28.2	SECTION 44.2	44.2 Definitions.
12:1.0.1.1.39.2	SUBPART B	Subpart B - Proprietary Trading
12:1.0.1.1.39.2.28.1	SECTION 44.3	44.3 Prohibition on proprietary trading.
12:1.0.1.1.39.2.28.2	SECTION 44.4	44.4 Permitted underwriting and market making-related activities.
12:1.0.1.1.39.2.28.3	SECTION 44.5	44.5 Permitted risk-mitigating hedging activities.
12:1.0.1.1.39.2.28.4	SECTION 44.6	44.6 Other permitted proprietary trading activities.
12:1.0.1.1.39.2.28.5	SECTION 44.7	44.7 Limitations on permitted proprietary trading activities.
12:1.0.1.1.39.2.28.6	SECTION 44.8-44.9	44.8-44.9 [Reserved]
12:1.0.1.1.39.3	SUBPART C	Subpart C - Covered Funds Activities and Investments
12:1.0.1.1.39.3.28.1	SECTION 44.10	44.10 Prohibition on acquiring or retaining an ownership interest in and having certain relationships with a covered fund.
12:1.0.1.1.39.3.28.2	SECTION 44.11	44.11 Permitted organizing and offering, underwriting, and market making with respect to a covered fund.
12:1.0.1.1.39.3.28.3	SECTION 44.12	44.12 Permitted investment in a covered fund.
12:1.0.1.1.39.3.28.4	SECTION 44.13	44.13 Other permitted covered fund activities and investments.
12:1.0.1.1.39.3.28.5	SECTION 44.14	44.14 Limitations on relationships with a covered fund.
12:1.0.1.1.39.3.28.6	SECTION 44.15	44.15 Other limitations on permitted covered fund activities and investments.
12:1.0.1.1.39.3.28.7	SECTION 44.16	44.16 Ownership of interests in and sponsorship of issuers of certain collateralized debt obligations backed by trust-preferred securities.
12:1.0.1.1.39.3.28.8	SECTION 44.17-44.19	44.17-44.19 [Reserved]
12:1.0.1.1.39.4	SUBPART D	Subpart D - Compliance Program Requirement; Violations
12:1.0.1.1.39.4.28.1	SECTION 44.20	44.20 Program for compliance; reporting.
12:1.0.1.1.39.4.28.2	SECTION 44.21	44.21 Termination of activities or investments; penalties for violations.
12:1.0.1.1.39.5	SUBPART 0
12:1.0.1.1.39.6.28.1.29	APPENDIX Appendix A	Appendix A to Part 44 - Reporting and Recordkeeping Requirements for Covered Trading Activities

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