SEC Updates Derivatives Rules for Investment Funds

Thoughtware Article Published: Nov 09, 2020

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On October 28, 2020, the SEC issued a final rule creating a new regulatory framework for derivatives use by registered investment companies. The new rule will provide a modernized, comprehensive approach to the regulation of funds’ derivatives use that will protect investors and reflects the evolution of derivatives usage over the past decades. This article provides details on the new rule, which supersedes SEC historical guidance relating to derivatives use by registered funds.

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