Proposed Rule 18f-4 to Establish Limits on the Size of Derivatives

Summary

SIFMA AMG provides comments to the U.S. Securities and Exchange Commission (SEC) on proposed rule 18f-4. The Proposed Rule seeks to regulate the use of derivatives by registered investment companies and business development companies by establishing limits on the size of derivatives and other senior security positions, codifying asset segregation requirements and requiring regulated funds having large positions in derivatives to establish risk management programs.

PDF

Letters

Proposed Rule 18f-4 to Establish Limits on the Size of Derivatives

Summary

Related Committee(s)

Date

Letters

Proposed Rule 18f-4 to Establish Limits on the Size of Derivatives

Summary

Related Committee(s)

Date

More Submissions

Type:

Access to Americans’ Bulk Sensitive Personal Data and Government-Related Data by Countries of Concern

Type:

Proposed Rule Change, as Modified by Partial Amendment No. 1, to Modify the GSD Rules to Facilitate Access to Clearance and Settlement Services of All Eligible Secondary Market Transactions in U.S. Treasury Securities (Joint Trades)

Type:

Proposed Rule Change to Modify the GSD Rules (I) Regarding the Separate Calculation, Collection and Holding of Margin for Proprietary Transactions and That for Indirect Participant Transactions, and (ii) To Address the Conditions of Note H to Rule 15c3-3a (Joint Trades)