The CFTC has finalized portions of its proposed October 2023 amendments to CFTC Rule 4.7. The CFTC moved forward on:
Raising the thresholds for qualification of certain investors in private funds commodity pool operators...more
The U.S. Securities and Exchange Commission on November 25, 2019 unanimously approved for publication a rule proposal related to the use of derivatives and certain other transactions by companies that have elected to be...more
1/11/2020
/ BDC ,
Business Development Companies ,
CFTC ,
Commodities ,
Commodity Trading Advisors (CTAs) ,
CPOs ,
Derivatives ,
Investment Adviser ,
Investment Company Act of 1940 ,
NFA ,
Notification Requirements ,
Proposed Amendments ,
Public Comment ,
Recordkeeping Requirements ,
Registered Investment Companies (RICs) ,
Reporting Requirements ,
Repurchase Agreements ,
Rule 18f-4 ,
Securities and Exchange Commission (SEC) ,
Swaps
The U.S. Securities and Exchange Commission on November 25, 2019 unanimously approved for publication a three-part rule proposal related to the use of derivatives and certain other transactions by registered investment...more
12/17/2019
/ BDC ,
Board of Directors ,
Comment Period ,
Compliance ,
Derivatives ,
Due Diligence ,
Form N-CEN ,
Form N-LIQUID ,
Form N-PORT ,
Investment Funds ,
Oversight Duties ,
Proposed Amendments ,
Recordkeeping Requirements ,
Reporting Requirements ,
Repurchase Agreements ,
Risk Management ,
Securities and Exchange Commission (SEC)
The U.S. Securities and Exchange Commission on November 25, 2019 approved for publication a three-part rule proposal related to the use of derivatives and certain other transactions by registered investment companies (i.e.,...more
11/27/2019
/ Business Development Companies ,
Closed-End Funds ,
Derivatives ,
ETFs ,
Form N-CEN ,
Form N-PORT ,
Investment Advisers Act of 1940 ,
Investment Company Act of 1940 ,
Leveraged Finance ,
Money Market Funds ,
Open-Ended Fund Companies (OFCs) ,
Proposed Amendments ,
Proposed Rules ,
Registered Investment Companies (RICs) ,
Repurchase Agreements ,
Rule 18f-4 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Transition Relief
The Commodity Futures Trading Commission issued a Notice of Proposed Rulemaking on October 9, 2018 to amend certain aspects of the current regulatory framework applicable to commodity pool operators (CPOs) and commodity...more
11/7/2018
/ Business Development Companies ,
CFTC ,
Commodities ,
Commodity Pool ,
Commodity Trading Advisors (CTAs) ,
CPOs ,
Deregulation ,
Exemptions ,
No-Action Letters ,
Non-US Entities ,
Proposed Amendments
The U.S. Commodity Futures Trading Commission (CFTC) held an open meeting in early November 2014 at which it discussed and proposed, among other agenda items, amendments to rules regarding recordkeeping related to commodity...more