Fund companies looking for regulator permission to include derivatives in active ETFs will no longer have the Securities and Exchange Commission standing in their way-in the first tangible outcome of ...
The SEC and the CFTC want your opinion. Both agencies are jointly soliciting public feedback on a proposed set of unified ...
First Impressions In December, the SEC released a document that addressed the derivatives usage of mutual funds (and exchange-traded funds). The commission has been busy over the past year, having ...
The SEC and CFTC are seeking public input to clarify and harmonize how derivatives products are defined and regulated in the ...
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SEC asks if Dodd-Frank era swap rules still make sense
The US Securities and Exchange Commission (SEC) requested feedback from market participants on whether the reporting ...
In a release issued yesterday, the Division of Investment Management of the Securities and Exchange Commission (SEC) announced that its staff is “conducting a review to evaluate the use of derivatives ...
Securities and Exchange Commission Chairman Mary Schapiro said it's "critical" for regulators to gain more access to information on derivative transactions to police market abuses. Regulators need ...
The Securities and Exchange Commission is considering whether trading in over the counter derivatives should be reported like other securities transactions, SEC Chairman Mary Schapiro told a ...
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