Transcription of Conformed to Federal Register version SECURITIES AND ...
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Conformed to Federal Register version SECURITIES AND ...
Conformed to Federal Register version SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 239, 249, 270, and 274 [Release No. IC-34084; File No. S7-24-15] RIN 3235-AL60 Use of Derivatives by Registered investment Companies and Business Development Companies AGENCY: SECURITIES and Exchange Commission. ACTION: Final rule. SUMMARY: The SECURITIES and Exchange Commission (the Commission ) is adopting a new exemptive rule under the investment Company Act of 1940 (the investment Company Act ) designed to address the investor protection purposes and concerns underlying section 18 of the Act and to provide an updated and more comprehensive approach to the regulation of funds use of derivatives and the other transactions the new rule addresses. In addition, the Commission is adopting new reporting requirements designed to enhance the Commission s ability to effectively oversee funds use of and compliance with the new rule, and to provide the Commission and the public additional information regarding funds use of derivatives.
Proposed Alternative Requirements for Leveraged/Inverse Funds..... 173 2. Treatment of Leveraged/Inverse Funds Under Rule 18f-4 ..... 182 3. Standards of Conduct for Broker-Dealers and Registered Investment ... These include sections 18 and 61 of the Investment Company Act, which limit a fund’s
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