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Electronic Code of Federal Regulations

e-CFR data is current as of December 11, 2019

Title 12Chapter IPart 44


TITLE 12—Banks and Banking

CHAPTER I—COMPTROLLER OF THE CURRENCY, DEPARTMENT OF THE TREASURY

PART 44—PROPRIETARY TRADING AND CERTAIN INTERESTS IN AND RELATIONSHIPS WITH COVERED FUNDS

rule

Subpart A—AUTHORITY AND DEFINITIONS

§44.1
Authority, purpose, scope, and relationship to other authorities.
§44.2
Definitions.
rule

Subpart B—PROPRIETARY TRADING

§44.3
Prohibition on proprietary trading.
§44.4
Permitted underwriting and market making-related activities.
§44.5
Permitted risk-mitigating hedging activities.
§44.6
Other permitted proprietary trading activities.
§44.7
Limitations on permitted proprietary trading activities.
§§44.8-44.9
[Reserved]
rule

Subpart C—COVERED FUNDS ACTIVITIES AND INVESTMENTS

§44.10
Prohibition on acquiring or retaining an ownership interest in and having certain relationships with a covered fund.
§44.11
Permitted organizing and offering, underwriting, and market making with respect to a covered fund.
§44.12
Permitted investment in a covered fund.
§44.13
Other permitted covered fund activities and investments.
§44.14
Limitations on relationships with a covered fund.
§44.15
Other limitations on permitted covered fund activities and investments.
§44.16
Ownership of interests in and sponsorship of issuers of certain collateralized debt obligations backed by trust-preferred securities.
§§44.17-44.19
[Reserved]
rule

Subpart D—COMPLIANCE PROGRAM REQUIREMENT; VIOLATIONS

§44.20
Program for compliance; reporting.
§44.21
Termination of activities or investments; penalties for violations.
rule

   

Appendix
Appendix A to Part 44—Reporting and Recordkeeping Requirements for Covered Trading Activities
Appendix
Appendix B to Part 44—Enhanced Minimum Standards for Compliance Programs
Appendix
Appendix Z to Part 44—XXX

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