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Keywords: Registered investment companies
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Journal Articles
SEC proposes sweeping changes to the use of derivatives and financial commitment transactions by registered funds and BDCs
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2016) 17 (1): 51–73.
Published: 03 May 2016
... by registered investment companies and business development companies. Design/methodology/approach This article summarizes the various aspects of the proposed rule, discusses the elements of the proposed rule in greater detail, explains the effect of the proposed rule on existing guidance from the SEC...
Journal Articles
CFTC proposes harmonization rules for mutual funds
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2012) 13 (3): 46–50.
Published: 07 September 2012
... conflicts between CFTC rules and US Securities and Exchange Commission rules applicable to registered investment companies (Futures RICs) whose futures and swaps trading will subject their advisers to regulation as commodity pool operators as a result of the amendments to CFTC Rule 4.5. Design...
