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 ...

Fund companies looking for regulator permission to include derivatives in active ETFs will no longer have the Securities and Exchange Commission standing in their way-in the first tangible outcome of ...

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 ...

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 has passed along a request to the Financial Accounting Standards Board that it consider making changes in how to account for derivatives contracts designated as ...

Securities and Exchange Commission Chairman Mary Schapiro said it's "critical" for regulators to gain more access to information on derivative transactions to police market abuses. Regulators need ...