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Funds’ Derivatives Rule Still Looms – Uncertainty Prevails, Futures & Derivatives Law

January 01, 2017

Just over a year ago, the US Securities and Exchange Commission (SEC) pro-posed a new rule under the Investment Company Act of 1940 (1940 Act) that, if adopted, would represent a significant shift in the way the SEC regulates the use of derivatives by registered investment companies (i.e., mutual funds, exchange-traded funds (ETFs) and closed-end funds) and business development companies.

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