Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

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Wednesday, August 31, 2011

SEC Seeks Comment on Use of Derivatives by Mutual Funds

The SEC seeks public comment on a wide range of issues raised by the use of derivatives by mutual funds and other investment companies regulated under the Investment Company Act.  The SEC is seeking public input through a concept release and will use the comments received in response to this concept release to help determine whether regulatory initiatives or guidance is needed that would continue to protect investors and fulfill the purposes underlying the Investment Company Act.  The concept release is a continuation of the SEC’s ongoing review of mutual funds’ use of derivatives announced last year.

Public comments should be received within 60 days from the date of publication in the Federal Register.

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