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 Securities and Exchange Commission (Commission) on December 11, 2015 proposed new Rule 18f-4 (Proposed Rule) under the Investment Company Act of 1940 (1940 Act) and amendments to certain proposed forms. The proposal...more
At an open meeting of the U.S. Securities and Exchange Commission (SEC) today, the SEC by a three-to-one vote approved the proposal (Proposal) of new Rule 18f-4 under the Investment Company Act of 1940 (1940 Act) and...more