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 Proposes Amendments to Chief Compliance Officer Duties and Annual Reports

Derivatives The CFTC is proposing to amend its regulations regarding certain duties of chief compliance officers, or CCOs, of swap dealers, major swap participants and futures commission merchants, which are referred to as registrants. The CFTC is also proposing to amend requirements for preparing and furnishing to the Commission an annual report containing an assessment of […] Read more →

by   |   May 3, 2017

CFTC Initiates Project KISS

Derivatives In remarks at a conference, CFTC Acting Chairman J. Christopher Giancarlo announced the CFTC’s intent to comply with an Executive Order which requires each agency to... Read more →

by   |   March 31, 2017

Corzine Settles CFTC’s MF Global Charges for $5 Million

Derivatives, Employment, Executive Compensation, Litigation The U.S. Commodity Futures Trading Commission has obtained a federal court Consent Order against Defendant Jon S. Corzine, former CEO of MF Global Inc., requiring him to pay a $5... Read more →

by   |   January 5, 2017

SEC Finds Pre-IPO Transactions Were Unlawful Security-Based Swaps

Derivatives, Litigation, Public Companies and Securities The SEC announced that Equidate Inc. agreed to settle charges that it violated federal securities laws by failing to register security-based swaps that were offered and sold... Read more →

by   |   December 6, 2016