Title 12

PART 351

Part 351 - Proprietary Trading And Certain Interests In And Relationships With Covered Funds

PART 351 - PROPRIETARY TRADING AND CERTAIN INTERESTS IN AND RELATIONSHIPS WITH COVERED FUNDS Authority:12 U.S.C. 1851; 1811 et seq.; 3101 et seq.; and 5412. Source:79 FR 5805, Jan. 31, 2014, unless otherwise noted.

• Authority: 12 U.S.C. 1851; 1811 et seq.; 3101 et seq.; and 5412.
• Source: 79 FR 5805, Jan. 31, 2014, unless otherwise noted.

12:6.0.1.1.5.1	SUBPART A	Subpart A - Authority and Definitions
12:6.0.1.1.5.1.1.1	SECTION 351.1	351.1 Authority, purpose, scope, and relationship to other authorities.
12:6.0.1.1.5.1.1.2	SECTION 351.2	351.2 Definitions.
12:6.0.1.1.5.2	SUBPART B	Subpart B - Proprietary Trading
12:6.0.1.1.5.2.1.1	SECTION 351.3	351.3 Prohibition on proprietary trading.
12:6.0.1.1.5.2.1.2	SECTION 351.4	351.4 Permitted underwriting and market making-related activities.
12:6.0.1.1.5.2.1.3	SECTION 351.5	351.5 Permitted risk-mitigating hedging activities.
12:6.0.1.1.5.2.1.4	SECTION 351.6	351.6 Other permitted proprietary trading activities.
12:6.0.1.1.5.2.1.5	SECTION 351.7	351.7 Limitations on permitted proprietary trading activities.
12:6.0.1.1.5.2.1.6	SECTION 351.8-351.9	351.8-351.9 [Reserved]
12:6.0.1.1.5.3	SUBPART C	Subpart C - Covered Funds Activities and Investments
12:6.0.1.1.5.3.1.1	SECTION 351.10	351.10 Prohibition on acquiring or retaining an ownership interest in and having certain relationships with a covered fund.
12:6.0.1.1.5.3.1.2	SECTION 351.11	351.11 Permitted organizing and offering, underwriting, and market making with respect to a covered fund.
12:6.0.1.1.5.3.1.3	SECTION 351.12	351.12 Permitted investment in a covered fund.
12:6.0.1.1.5.3.1.4	SECTION 351.13	351.13 Other permitted covered fund activities and investments.
12:6.0.1.1.5.3.1.5	SECTION 351.14	351.14 Limitations on relationships with a covered fund.
12:6.0.1.1.5.3.1.6	SECTION 351.15	351.15 Other limitations on permitted covered fund activities.
12:6.0.1.1.5.3.1.7	SECTION 351.16	351.16 Ownership of Interests in and Sponsorship of Issuers of Certain Collateralized Debt Obligations Backed by Trust-Preferred Securities.
12:6.0.1.1.5.3.1.8	SECTION 351.17-351.19	351.17-351.19 [Reserved]
12:6.0.1.1.5.4	SUBPART D	Subpart D - Compliance Program Requirement; Violations
12:6.0.1.1.5.4.1.1	SECTION 351.20	351.20 Program for compliance; reporting.
12:6.0.1.1.5.4.1.2	SECTION 351.21	351.21 Termination of activities or investments; penalties for violations.
12:6.0.1.1.5.5	SUBPART 0
12:6.0.1.1.5.6.1.1.3	APPENDIX Appendix A	Appendix A to Part 351 - Reporting and Recordkeeping Requirements for Covered Trading Activities

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