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Examples
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We've used our exemptive authority to say that what happens on the one-year anniversary is that the marketplace gets to wait until we finalize the rules.
Keep on Hedging 2011
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"Our decision to defer the review of exemptive applications for derivatives-based ETFs reflects concerns about whether granting exemptive relief for those funds would be consistent with required regulatory standards in light of those concerns."
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We've used our exemptive authority to say that what happens on the one-year anniversary is that the marketplace gets to wait until we finalize the rules.
Keep on Hedging 2011
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"There has been a lot of concern generally about derivatives in the last few years, and specifically in our division about the use of derivatives by investment companies, including ETFs," says Elizabeth Osterman, head of the exemptive applications office of SEC's Division of Investment Management.
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"There has been a lot of concern generally about derivatives in the last few years, and specifically in our division about the use of derivatives by investment companies, including ETFs," says Elizabeth Osterman, head of the exemptive applications office of SEC's Division of Investment Management.
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MR. GENSLER: With regard to this exemptive order, we think it's quite strong.
Keep on Hedging 2011
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MR. GENSLER: With regard to this exemptive order, we think it's quite strong.
Keep on Hedging 2011
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"Our decision to defer the review of exemptive applications for derivatives-based ETFs reflects concerns about whether granting exemptive relief for those funds would be consistent with required regulatory standards in light of those concerns."
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The review effectively means that any new or pending exemptive requests under the Investment Company Act by exchange-traded funds that are seeking to heavily invest in derivatives have been put on hold pending the outcome of the review, the SEC said.
SEC Staff Evaluating Use of Derivatives by Funds Sarah N. Lynch 2010
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The review effectively means that any new or pending exemptive requests under the Investment Company Act by exchange-traded funds that are seeking to heavily invest in derivatives have been put on hold pending the outcome of the review, the SEC said.
SEC Staff Evaluating Use of Derivatives by Funds Sarah N. Lynch 2010
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