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SEC

RIN: 3235-AL22

Publication ID: 2012

Title: Use of Derivatives by Investment Companies Under the Investment Company Act of 1940
Abstract: The Commission issued a concept release and requested public comment on issues under the Investment Company Act raised by funds' use of derivatives. The specific issues upon which comment is requested include fund use of derivatives under the Act's restrictions on leverage and funds' issuance of senior securities; provisions concerning fund portfolio diversification and concentration; limitations on funds' investments in securities-related issuers; and requirements concerning valuation of fund assets.
Agency: Securities and Exchange Commission(SEC)	Priority: Substantive, Nonsignificant
RIN Status: Previously published in the Unified Agenda	Agenda Stage of Rulemaking: Proposed Rule Stage
Major: Undetermined	Unfunded Mandates: No
CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: Not Yet Determined

Legal Deadline: None

Timetable:

Action	Date	FR Cite
ANPRM	09/07/2011	76 FR 55237
ANPRM Comment Period End	11/07/2011
Next Action	03/00/2013

Regulatory Flexibility Analysis Required: Undetermined	Government Levels Affected: Undetermined
Federalism: Undetermined
Included in the Regulatory Plan: No
RIN Information URL: www.sec.gov/rules/concept/2011/ic-29776.pdf
RIN Data Printed in the FR: No
Agency Contact: Michael S. Didiuk Division of Investment Management Securities and Exchange Commission 100 F Street NE, Washington, DC 20016 Phone:202 551-6825