Stinson Leonard Street Dodd Frank


The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Dodd-Frank Derivatives

CFTC Extends Swap Dealer De Minimis Phase-In Period

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Derivatives As has been rumored in recent weeks, the CFTC has adopted an order establishing December 31, 2018 as the swap dealer registration de minimis threshold phase-in termination date. With this approval, the de minimis threshold will remain at $8 billion until December 31, 2018 instead of changing to $3 billion on December 31, 2017. CFTC […] Read more →

by   |   October 13, 2016

SEC logo

SEC Says Mobile Phone Game is an Illegal Security-Based Swap

Derivatives, Litigation I previously discussed an SEC Investor Alert which said fantasy stock trading for small amounts of money can violate provisions of securities laws implemented by the Dodd-Frank... Read more →

by   |   October 13, 2016

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CFTC Chief Supports Extension of Swap Dealer De Minimis Exemption

Derivatives Under current CFTC rules, market participants who exceed $8 billion in gross notional swap dealing activity over a twelve-month period are required to register with the CFTC as... Read more →

by   |   September 16, 2016

hedge fund

SEC’s Use of Form PF in Examinations

Derivatives, Private Equity The SEC has again published its annual report to Congress regarding how the SEC has used Form PF data. The section on enforcement and investigation describes the use of the data... Read more →

by   |   September 2, 2016