InvestmentNews

SEC approves rule limiting use of derivatives in funds

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 ...
The National Law Review

SEC Adopts Final Derivatives Rule and Related Amendments

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...
Washington Examiner

SEC proposes capital rules for derivatives traders

WASHINGTON (AP) — Federal regulators proposed setting minimum capital levels that banks and other firms that trade derivatives must hold as a cushion against risk. The Securities and Exchange ...
JD Supra

SEC Proposes to Modernize Rules Covering the Use of Derivatives and Short Sales by Registered Funds and Business Development Companies

On Nov. 25, the Securities and Exchange Commission (SEC) voted 5-0 to propose or repropose new rules revamping the framework for permissible use of derivatives and short sales by investment companies ...
The National Law Review

Useful Reference Materials for Compliance with the New Derivatives Rule for “Limited Derivatives Users”

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...
JD Supra

Derivatives Business Conduct Rule Issued by the Canadian Securities Administrators

After a 10-year long consultation process, the Canadian Securities Administrators (CSA) have published Multilateral Instrument 93-101 – Derivatives: Business Conduct (Rule), a core regulation ...