3235-AL60 201810 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Use of Derivatives by Registered Investment Companies and Business Development Companies

The Division is considering recommending that the Commission re-propose a new rule designed to enhance the regulation of the use of derivatives by registered investment companies, including mutual funds, exchange-traded funds, closed-end funds and business development companies. 

]]> Substantive, Nonsignificant Previously Published in The Unified Agenda Proposed Rule Stage Undetermined No Independent agency 17 CFR 270 17 CFR 274 15 U.S.C. 80a-6(c) 15 U.S.C. 80a-31(a) 15 U.S.C. 80a-12(a) 15 U.S.C. 80a-38(a) 15 U.S.C. 80a-8 15 U.S.C. 80a-30 15 U.S.C. 80a-38 No NPRM 12/28/2015 80 FR 80884 NPRM Comment Period End 03/28/2016 NPRM 09/00/2019 Yes Businesses Undetermined Undetermined www.sec.gov/rules/propsed/2015/ic-31933 Yes No 3235-AL22 Related to Brian Johnson Division of Investment Management 3235 Securities and Exchange Commission SEC 202 551-6740 johnsonbm@sec.gov 100 F Street NE, Washington DC 20549