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Electronic Code of Federal Regulations

e-CFR data is current as of January 16, 2020

Title 17Chapter IPart 75


TITLE 17—Commodity and Securities Exchanges

CHAPTER I—COMMODITY FUTURES TRADING COMMISSION (CONTINUED)

PART 75—PROPRIETARY TRADING AND CERTAIN INTERESTS IN AND RELATIONSHIPS WITH COVERED FUNDS

rule

Subpart A—AUTHORITY AND DEFINITIONS

§75.1
Authority, purpose, scope, and relationship to other authorities.
§75.2
Definitions.
rule

Subpart B—PROPRIETARY TRADING

§75.3
Prohibition on proprietary trading.
§75.4
Permitted underwriting and market making-related activities.
§75.5
Permitted risk-mitigating hedging activities.
§75.6
Other permitted proprietary trading activities.
§75.7
Limitations on permitted proprietary trading activities.
§§75.8-75.9
[Reserved]
rule

Subpart C—COVERED FUND ACTIVITIES AND INVESTMENTS

§75.10
Prohibition on acquiring or retaining an ownership interest in and having certain relationships with a covered fund.
§75.11
Permitted organizing and offering, underwriting, and market making with respect to a covered fund.
§75.12
Permitted investment in a covered fund.
§75.13
Other permitted covered fund activities and investments.
§75.14
Limitations on relationships with a covered fund.
§75.15
Other limitations on permitted covered fund activities.
§75.16
Ownership of interests in and sponsorship of issuers of certain collateralized debt obligations backed by trust-preferred securities.
§§75.17-75.19
[Reserved]
rule

Subpart D—COMPLIANCE PROGRAM REQUIREMENT; VIOLATIONS

§75.20
Program for compliance; reporting.
§75.21
Termination of activities or investments; penalties for violations.
rule

   

Appendix
Reporting and Recordkeeping Requirements for Covered Trading Activities
Appendix
Appendix Z to Part 75—Proprietary Trading and Certain Interests in and Relationships with Covered Funds (Alternative Compliance)

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