Stinson Leonard Street Dodd Frank

MAKING SENSE OF 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 Approves Final Rule for Filing Chief Compliance Officer Annual Reports

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Derivatives The CFTC approved a final rule amending a CFTC regulation addressing the timing for filing chief compliance officer annual reports for certain registrants. The final rule amends CFTC regulation 3.3 to provide futures commission merchants, swap dealers, and major swap participants 90 days following their fiscal year-end to file chief compliance officer annual reports and […] Read more →

by   |   November 13, 2016

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CFTC Extends Exemptions of RTO Energy Products to Bar Private Rights of Action

Derivatives, Energy The CFTC quelled a controversy that had emerged regarding its proposed exemption of certain specified energy products transacted in Regional Transmission Organizations (RTO) by... Read more →

by   |   October 24, 2016

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CFTC Extends Swap Dealer De Minimis Phase-In Period

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.... Read more →

by   |   October 13, 2016

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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