Tag Archives: derivatives

Mutual Fund Corner: On August 31st, SEC to Consider Whether to Issue a Concept Release On The Use of Derivatives By Mutual Funds

In an August 24th Sunshine Act Notice (available here), the SEC announced that it hold a pubic meeting on August 31st to consider, among other things,…drumroll please... whether to issue a concept release and request public comment on a wide range of issues under the Investment Company Act raised by the use of derivatives by … Continue Reading

Attention Hedge Funds, Mutual Funds and Investment Advisers: Comment Period Open for CFTC Rules 4.5, 4.13 and 4.14

The Notice of Proposed Rulemaking has been published in the Federal Register (available here)  in respect of the proposed changes to CFTC Rules 4.5, 4.13 and 4.14 (i.e., fund and adviser exemptions from CPO and CTA registration). The comment period is open until April 12th. Thoughts will be forthcoming soon… Good day. Good writing. TSR… Continue Reading

Attention Funds and Advisers: CFTC issues NOPR for Rule 4.5, 4.13 and 4.14, et. al.

Just last night, I sat back and said to myself, "I wish that the CFTC would issue another 140+ page NOPR." Well, today they posted the NOPR in respect of CFTC Rules 4.5, 4.13, and 4.14. It has not yet been published in the Federal Register, so the comment period is not yet open. And, TSR … Continue Reading

CFTC to hold Public Meeting on December 1st on Sixth Series of Proposed Rules

Reminder: Public Meeting December 1st WHAT: CFTC to hold Public Meeting on Sixth Series of Proposed Rules.  Topics  to be discussed Core principles and other requirements for designated contract markets; General regulations for derivatives clearing organizations; Information management requirements for derivatives clearing organizations; Reporting, recordkeeping and daily trading records requirements for swap dealers and major swap participants; … Continue Reading