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SEC RIN: 3235-AL22 Publication ID: Spring 2013 
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  12/00/2013   
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

 
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