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 Says Mobile Phone Game is an Illegal Security-Based Swap

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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 Act. According to the SEC, the terms “swap,” “security-based swap,” and “derivative” includes any agreement, contract, or transaction whose value is based upon – or “derivative” of – […] Read more →

by   |   October 13, 2016

CFTC Chief Supports Extension of Swap Dealer De Minimis Exemption

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... Read more →

by   |   September 16, 2016

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

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