*Letters

The SEC’s Concept Release on the Use of Derivatives by Investment Companies

Published on:
November 23, 2011
Submitted to:
SEC
Submitted by:
SIFMA AMG
Issue:
Committee:

SIFMA Asset Management Group (AMG) provides comments to the Securities and Exchange Commission (SEC) on the SEC’s Concept Release: Use of Derivatives by Investment  Companies Under the Investment Company Act of 1940.  The SEC’s concept release requests comments on a wide range of issues relevant to Investment Companies, such as fund leverage, diversification, portfolio concentration, and valuation. Through public input, the SEC hopes to determine whether regulatory initiatives or guidance are needed to improve the current regulatory regime for funds.  SIFMA AMG recommends that the SEC fully assess the impact of the new regulatory framework on the derivatives markets before implementing any regulation on issues relating to this concept release.

Details

More Content

  • Amicus Briefs
    Oct 05, 2026

    In re The Boeing Company Securities Litigation

  • Letters
    Oct 05, 2026

    Reducing Duplicative Regulation and Expanding Exemptions for Commodity Pool Operators and Commodity Trading Advisors

    SIFMA AMG comments on CFTC proposals to reduce duplicative regulation for certain CPOs and CTAs and account for inflation.
  • Letters
    Sep 30, 2026

    Proposed Rule Change to Amend FINRA Rules 0150, 2165, 4512 and to Adopt FINRA Rule 2166

    SIFMA Comments to SEC in support of the proposed rule changes to improve the utilization of Rules 2165 and 4512, as well as the new Rule 2166 to allow for a temporary delay for suspected fraud.

Get the latest trends, stats, and research on financial markets and securities.