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Harkin or harken for index products

USA - February 15 2013 A threshold question in developing and designing an index insurance product is whether or not it will be registered with the SEC under the Securities…

Commodity pool operator rule under fire

USA - August 27 2012 The Investment Company Institute and the U.S. Chamber of Commerce have joined together as plaintiffs to challenge recent changes the CFTC made to its Rule 4.5, which specifies limits in commodity interest holdings by mutual or exchange traded funds.

CFTC rule changes: a silver lining?

USA - August 27 2012 Investment advisers to mutual funds, ETFs, and private funds are chafing under recent CFTC rule changes that may require them to register as commodity pool operators or commodity trading advisers.

Tom Lauerman

Agency positions unfavorable to investment companies

USA - May 9 2012 In an interpretation of the Jumpstart Our Business Startups (JOBS) Act last week, the SEC staff resolved a regulatory uncertainty adversely to registered investment companies, as did the CFTC a few weeks ago in amending its Rule 4.5.

Tom Lauerman

CFTC expands regulation of investment companies

USA - February 17 2012 Last week, the CFTC amended its rules to roll back and dilute provisions that since 2003 have enabled most investment companies to use certain derivatives without having a commodity pool operator registered with that agency.

Richard Choi, Tom Lauerman, Ed Zaharewicz