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SEC RIN: 3235-AL60 Publication ID: Spring 2017 
Title: Use of Derivatives by Registered Investment Companies and Business Development Companies 
Abstract:

The Commission proposed 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.  The proposed rule would regulate registered investment companies' use of derivatives and require enhanced risk management measures.

 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 17 CFR 270    17 CFR 274   
Legal Authority: 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   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  12/28/2015  80 FR 80884   
NPRM Comment Period End  03/28/2016 
Final Action  04/00/2018 
Regulatory Flexibility Analysis Required: Yes  Government Levels Affected: Undetermined 
Small Entities Affected: Businesses  Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/propsed/2015/ic-31933  
RIN Data Printed in the FR: Yes 
Related RINs: Related to 3235-AL22 
Agency Contact:
Brian Johnson
Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-6740
Email: johnsonbm@sec.gov