A split Securities and Exchange Commission Wednesday approved a rule to limit the use of derivatives in investment funds that drew dissent from Democratic members who said it does not adequately ...
On August 31, the Securities and Exchange Commission issued three concept releases regarding: (i) the use of derivatives by investment companies (Derivatives Release), (ii) companies engaged in the ...
On Nov. 25, 2019 the Securities and Exchange Commission (SEC) voted to propose a new rule, under the Investment Company Act of 1940 (the “1940 Act”), designed to modernize the way the SEC regulates ...
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