First Impressions In December, the SEC released a document that addressed the derivatives usage of mutual funds (and exchange-traded funds). The commission has been busy over the past year, having ...
The Securities and Exchange Commission is considering whether trading in over the counter derivatives should be reported like other securities transactions, SEC Chairman Mary Schapiro told a ...
The Securities and Exchange Commission (the "SEC") recently proposed a revised version of new Rule 18f‑4 (the "Proposed Rule") under the Investment Company Act of 1940, as amended (the "1940 Act"),[1] ...
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