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Restrictions on Self Dealing | Midpage
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Code of Federal Regulations
Title 12
Chapter I
Part 150
Subpart B
ECFR94a937f1713d9ed
Restrictions on Self Dealing
150.330
Are there investments in which I may not invest funds of a fiduciary account?
150.340
May I exercise rights to purchase additional stock or fractional shares of my stock or obligations or the stock or obligations of my affiliates?
150.350
May I lend, sell, or transfer assets of a fiduciary account if I have an interest in the transaction?
150.360
May I make a loan to a fiduciary account that is secured by an interest in the assets of the account?
150.370
May I sell assets or lend money between fiduciary accounts?