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Jan 11, 2016

SEC Proposes New Derivatives Rules for Registered Funds

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A rule proposed by the US Securities and Exchange Commission would provide for new limits on the use of derivatives—together with new risk management measures—for SEC registered investment companies. All funds registered under the US Investment Company Act of 1940 would be covered, including mutual funds, exchange traded funds (ETFs), closed end funds, and business development companies.

View full memo, SEC Proposes New Derivatives Rules for Registered Funds