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

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 online to shareholders in pre-IPO companies. Equidate did not admit or deny the SEC’s findings. The SEC instituted an order finding that Equidate sought to provide liquidity for […] Read more →

by   |   December 6, 2016

CFTC Approves Final Rule for Filing Chief Compliance Officer Annual Reports

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... Read more →

by   |   November 13, 2016

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

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