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 Energy

CFTC’s Massad on End-Users

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Derivatives, Energy CFTC Chair Timothy G. Massad delivered a speech on the importance of providing flexibility in the CFTC’s regulations to accommodate hedging by commercial end-users of derivatives.  Mr. Massad highlighted the following: Last September the CFTC amended its rules so that local, publicly-owned utility companies could continue to effectively hedge their risks in the energy swaps […] Read more →

by   |   February 26, 2015

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Asset Manager Hedging Results Fined for Failing to Register as a Commodity Trading Advisor

Broker-Dealer, Energy On January 16, 2015, the Commodity Futures Trading Commission (CFTC) fined an asset manager, using financial instruments to hedge its clients’ risk, for failing to register as a... Read more →

by   |   February 12, 2015

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2014 CFTC Enforcement Report – Another Year of Record Sanctions

Broker-Dealer, Energy On November 6, 2014, the Commodity Futures Trading Commission (CFTC) released its 2014 fiscal year Enforcement Report.  In 2014, the CFTC continued its aggressive enforcement of... Read more →

by   |   December 30, 2014

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Illegal “Wash Sales” in Futures Contracts Result in $35 Million Fine

Banking, Derivatives, Energy On December 18, the U.S. District Court for the Southern District of New York entered a Consent Order against a foreign bank (the “Bank”), imposing a civil monetary penalty of... Read more →

by   |   December 22, 2014