17 Cfr 250

Securities and Exchange Commission

Pt. 255

§ 249b.400 Form SD, specialized disclosure report.
(a) This Form shall be filed pursuant
to § 240.13p–1 of this chapter by registrants that file reports with the Commission pursuant to Sections 13(a) or
15(d) of the Securities Exchange Act of
1934 and are required to disclose the information required by Section 13(p)
under the Securities Exchange Act of
1934 and Rule 13p–1 (§ 240.13p–1) of this
chapter.
(b) This Form shall be filed pursuant
to Rule 13q–1 (§ 240.13q–1) of this chapter by resource extraction issuers that
are required to disclose the information required by Section 13(q) of the
Securities Exchange Act of 1934 (15
U.S.C. 78m(q)) and Rule 13q–1 of this
chapter.
[77 FR 56362, Sept. 12, 2012, as amended at 77
FR 56418, Sept. 12, 2012]
EDITORIAL NOTE: For FEDERAL REGISTER citations affecting Form SD, see the List of
CFR Sections Affected, which appears in the
Finding Aids section of the printed volume
and at www.fdsys.gov.

PART 250—CROSS-BORDER ANTIFRAUD LAW-ENFORCEMENT AUTHORITY
AUTHORITY: 15 U.S.C. 77s,
78aa(b), 80b–11, and 80b–14(b).

77v(c),

78w,

kpayne on DSK54DXVN1OFR with $$_JOB

SOURCE: 79 FR 47372, Aug. 12, 2014, unless
otherwise noted.

States that involves only foreign investors; or
(2) The violation is committed by a
foreign adviser and involves only foreign investors.
(c) Violations of the antifraud provisions of the securities laws described in
this section may be pursued in judicial
proceedings brought by the Commission or the United States.

PARTS 251–254 [RESERVED]
PART 255—PROPRIETARY TRADING
AND CERTAIN INTERESTS IN AND
RELATIONSHIPS WITH COVERED
FUNDS
Subpart A—Authority and Definitions
Sec.
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]

§ 250.1 Cross-border antifraud law-enforcement authority.

Subpart C—Covered Fund Activities and
Investments

(a) Notwithstanding any other Commission rule or regulation, the antifraud provisions of the securities laws
apply to:
(1) Conduct within the United States
that constitutes significant steps in
furtherance of the violation; or
(2) Conduct occurring outside the
United States that has a foreseeable
substantial effect within the United
States.
(b) The antifraud provisions of the securities laws apply to conduct described in paragraph (a)(1) of this section even if:
(1) The violation relates to a securities transaction or securities transactions occurring outside the United

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 and investments.
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]

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