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SEC

RIN: 3235-AL60

Publication ID: Fall 2020

Title: Use of Derivatives by Registered Investment Companies and Business Development Companies
Abstract: 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

Timetable:

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: 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