Developments in Securities Regulation, Corporate Governance, Capital Markets, M&A and Other Topics of Interest. MORE

The Division of Swap Dealer and Intermediary Oversight of the Commodity Futures Trading Commission, or CFTC, announced that certain banking entities subject to Appendix B of Part 75 of the Commission’s regulations should submit their CEO attestations through the following email address: VolckerAttestation@cftc.gov.

Part 75 of the CFTC’s regulations implements section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, commonly referred as the “Volcker Rule.” Regulation 75.20(c) requires that banking entities meeting certain conditions must satisfy the requirements of Appendix B. Appendix B requires, among other things, that a CEO attestation be submitted to the CFTC regarding the banking entity’s Volcker Rule compliance program.

ABOUT STINSON LEONARD STREET

Stinson Leonard Street LLP provides sophisticated transactional and litigation legal services to clients ranging from individuals and privately held enterprises to national and international public companies. As one of the 100 largest firms in the U.S., Stinson Leonard Street has offices in 14 cities, including Minneapolis, Mankato and St. Cloud, Minn.; Kansas City, St. Louis and Jefferson City, Mo.; Phoenix, Ariz.; Denver, Colo.; Washington, D.C.; Decatur, Ill.; Wichita and Overland Park, Kan.; Omaha, Neb.; and Bismarck, N.D.

The views expressed herein are the views of the blogger and not those of Stinson Leonard Street or any client.