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 Chief Supports Extension of Swap Dealer De Minimis Exemption

CFTC logo4

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 swap dealers during the phase-in period currently in effect. This phase-in period is scheduled to end, and the threshold will fall, to $3 billion in December 2017. […] 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

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CFTC Proposes to Amend Whistleblower Rules to Provide Anti-Retaliation Enforcement Authority

Derivatives, Employment, Litigation The CFTC has proposed amendments to its whistleblower rules that reinterpret its anti-retaliation authority and proposes appropriate rule amendments to implement that authority.... Read more →

by   |   September 1, 2016

Endrud.Nate.web

CFTC Supplemental Proposal Would Authorize Exchanges to Administer More Flexible Approach to Bona Fide Hedge Exemption to Position Limits

Derivatives, Energy The CFTC has published a proposed supplement to its December 2013 proposed rule on position limits* that would, among other things, authorize designated contract markets and swap... Read more →

by   |   June 14, 2016