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On August 31, 2011, the Securities and Exchange Commission published a Concept Release and requested comments on issues concerning the use of derivatives by investment companies, including mutual funds, closed-end funds, exchange-traded funds and business development companies
Much of the product development work in the last year in the structured products market has been focused on index creation and the structuring of products linked to proprietary indices
In December 2010, the Securities and Exchange Commission extended an interim final rule regulating an investment adviser’s principal transactions with its clients
