Open Meeting Agenda

Wednesday, October 28, 2020

Item 1: Use of Derivatives by Registered Investment Companies and Business Development Companies
Offices: Division of Investment Management
Staff: Dalia Blass, Sarah ten Siethoff, Brian McLaughlin Johnson, Amanda Hollander Wagner, Thoreau A. Bartmann, Blair Burnett, Joel Cavanaugh, Mykaila DeLesDernier, John Lee, and Amy Miller

The Commission will consider whether to adopt rules and related amendments designed to provide an updated and more comprehensive approach to the regulation of funds' use of derivatives and other transactions while enhancing investor protections. The amendments the Commission will consider also would include new reporting requirements to enhance the Commission's ability to effectively oversee funds' use of derivatives. The Commission also will consider whether to rescind existing guidance and exemptive relief addressing derivatives and other transactions that would be covered by this new regulatory framework.

For further information, please contact Brian McLaughlin Johnson and Amanda Hollander Wagner in the Division of Investment Management at (202) 551-6792.