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 ...

WASHINGTON (CN) - Entities willing to act as middlemen between buyer and seller in certain credit derivative purchases are exempt from Exchange Act requirements if they conform to specific conditions, ...

US buy-side firms have warned that current derivatives rules are confusing and open to interpretation, backing regulators’ plans for a rethink of the Investment Company Act of 1940. US buy-side firms ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

The Securities and Exchange Commission will meet Wednesday to vote on posing a series of questions to the public on investment companies' use of derivatives, according to a notice on its website. The ...