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Results: 1-10 of 98

Dodd-Frank anti-spoofing statute not void for vagueness for high frequency trader

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • April 18 2015

In United States v. Coscia, the District Court for the Northern District of Illinois Eastern Division declined to dismiss an indictment for

CFTC pushes Dodd-Frank boundaries with manipulation case

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • April 4 2015

In the first case of its kind, the CFTC has accused Kraft Food Groups, Inc. and former parent Mondelez Global LLC with manipulation pursuant to

SEC proposes to adopt same 13d rules for security based swaps

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • March 17 2011

Section 766 of the Dodd-Frank Act amends the Securities Exchange Act by adding Section 13(o), which provides that "for purposes of this section and section 16, a person shall be deemed to acquire beneficial ownership of an equity security based on the purchase or sale of a security-based swap, only to the extent that the SEC, by rule, determines after consultation with the prudential regulators and the Secretary of the Treasury, that the purchase or sale of the security-based swap, or class of security-based swap, provides incidents of ownership comparable to direct ownership of the equity security, and that it is necessary to achieve the purposes of this section that the purchase or sale of the security-based swaps, or class of security-based swap, be deemed the acquisition of beneficial ownership of the equity security

CFTC Commissioners bicker about budget and performance report

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • April 12 2013

There continues to be significant public discord amongst the Commissioners at the CFTC. 2014 Budget; According to Commissioner Scott O’Malia “Given

CFTC to make first whistleblower award for $240,000

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • May 20 2014

The CFTC has a whistleblower award program that is separate from, but somewhat similar to, the SEC's whistleblower award program. Both are mandated

Recent SEC actions on broker voting, executive stock options, compensation and corporate governance and shareholder access to proxy statements

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • July 10 2009

The Securities and Exchange Commission (SEC) recently approved a New York Stock Exchange (NYSE) proposal to eliminate broker discretionary voting for directors and a Chicago Board Options Exchange proposal related to stock options

Treasury official discusses path forward on financial reform

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • August 11 2010

Michael Barr, Treasury Assistant Secretary for Financial Institutions, outlined the path forward for implementing the Dodd-Frank Act on August 10, 2010

SEC issues concept release on swap definitions and announces roundtable on clearing and listing of swaps

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • August 13 2010

Section 712(d) and 721(c) of the Dodd-Frank Act requires the SEC and CFTC to define certain terms such as "swap", "security-based swap", "swap dealer", "security-based swap dealer", "major swap participant", "major security-based swap participant", "eligible contract participant", and "security-based swap agreement"

CFTC and SEC roundtable contentious

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • August 22 2010

As we noted, the SEC and CFTC held a joint roundtable on August 20, 2010 addressing governance and conflicts of interest on clearing and listing of swap transactions

CFTC issues final rules on retail forex trading

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • September 1 2010

The U.S. Commodity Futures Trading Commission has issued regulations concerning off-exchange retail foreign currency transactions