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Derivatives Proposal Back on SEC Regulatory Agenda

ETFs and improved disclosures to investors are among items listed in the SEC’s Spring 2018 regulatory agenda. IM Division Director Dalia Blass has suggested that an ETF rule re-proposal allowing certain ETFs to operate without first obtaining exemptive orders could be released by the fall of this year. Blass has also commented on her prioritizing of an improved investor experience for fund retail investors that would include enhanced investment company disclosures. A rule re-proposal on the use of derivatives by mutual funds, originally proposed in 2015, is also under consideration. According to the agenda, the re-proposed rule would regulate registered investment companies’ use of derivatives and require enhanced risk management measures.

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