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’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 in SEC examinations.  The SEC staff: uses Form PF data to help identify potential examination candidates, such as private fund advisers whose activities either […] Read more →

by   |   September 2, 2016

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

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

CFTC Proposes Guidance Clarifying that Certain Electric Capacity and Natural Gas Peaking Contracts are not “Swaps”

Derivatives, Energy The CFTC has proposed guidance that certain capacity contracts in electric power markets and certain natural gas peaking supply contracts should not be considered... Read more →

by   |   April 5, 2016