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SEC RIN: 3235-AL60 Publication ID: Fall 2020 
Title: Use of Derivatives by Registered Investment Companies and Business Development Companies 

The Division is considering recommending that the Commission adopt 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. 

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: Yes  Unfunded Mandates: No 
EO 13771 Designation: Independent agency 
CFR Citation: 17 CFR 270.18f-4    17 CFR 274.151-2    17 CFR 275.211(h)-1    17 CFR 270.6c-11    17 CFR 274.150    17 CFR 274.101    17 CFR 274.11a-1   
Legal Authority: 15 U.S.C. 80a-6(c)    15 U.S.C. 80a-60    15 U.S.C. 80a-12(a)    15 U.S.C. 80a-37    15 U.S.C. 80a-8    15 U.S.C. 80a-22(c)    15 U.S.C. 80a-18    15 U.S.C. 78c    15 U.S.C. 78c-5    15 U.S.C. 78j    15 U.S.C. 78o    15 U.S.C. 78m    15 U.S.C. 78o-10    15 U.S.C. 78q    15 U.S.C. 78w    15 U.S.C. 78mm    15 U.S.C. 80b-6    15 U.S.C. 80b-6a    15 U.S.C. 80b-8    15 U.S.C. 80b-aa    15 U.S.C. 77f    15 U.S.C. 77g    15 U.S.C. 77j    15 U.S.C. 77s    15 U.S.C. 78ll   
Legal Deadline:  None
Action Date FR Cite
NPRM  12/28/2015  80 FR 80884   
NPRM Comment Period End  03/28/2016 
Second NPRM  01/24/2020  85 FR 4446   
Second NPRM Comment Period End  03/04/2020 
Final Action  11/00/2020 
Regulatory Flexibility Analysis Required: Yes  Government Levels Affected: Undetermined 
Small Entities Affected: Businesses  Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Information URL:  
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