On November 25, 2019, the SEC proposed a new exemptive rule under the Investment Company Act of 1940—Rule 18f-4—intended to overhaul the current regulatory framework governing the use of derivatives by registered investment...more
I. Executive Summary -
Overview -
The Securities and Exchange Commission (the “Commission”) proposed Rule 6c-11 (the “Proposed Rule”) under the Investment Company Act of 1940, as amended (the “1940 Act”),1 if adopted,...more
9/14/2018
/ Comment Period ,
Disclosure Requirements ,
ETFs ,
Exemptive Orders ,
Investment Company Act of 1940 ,
Investment Management ,
Investors ,
Policies and Procedures ,
Proposed Rules ,
Public Comment ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
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