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ETFs, Mutual Funds and Derivatives

The use of derivatives by mutual funds and exchange-traded funds has surged over the past several years. With funds providing exposure to alternative asset classes and developing more complex trading strategies, derivatives transactions now occupy a prominent position in mutual funds’ and ETFs’ investment portfolios. In response to what the Securities and Exchange Commission refers to as the “dramatic growth” of derivatives in the regulated fund space, it recently issued a concept release to evaluate whether the existing regulatory framework applicable to mutual funds and ETFs remains sufficient to protect investors from the risks and challenges of using derivatives.

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