We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 103

SEC says fantasy stock trading violates securities laws; charges others for selling illegal security-based swaps
  • Stinson Leonard Street LLP
  • USA
  • June 17 2015

The SEC issued an Investor Alert which says fantasy stock trading for small amounts of money can violate provisions of securities laws implemented by


Kraft moves to dismiss novel CFTC manipulation claim
  • Stinson Leonard Street LLP
  • USA
  • June 2 2015

The CFTC accused Kraft Food Groups, Inc. and former parent Mondelez Global LLC with manipulation pursuant to Section 6(c)(1) of the Commodities


CFTC says securitization SPVs eligible for end-user exception
  • Stinson Leonard Street LLP
  • USA
  • May 4 2015

The CFTC issued a no-action letter to Ford Motor Credit to clarify that a securitization special purpose vehicle, or SPV, that is wholly-owned by


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


CFTC provides Chief Compliance Officers additional time to submit annual reports
  • Stinson Leonard Street LLP
  • USA
  • March 29 2015

The CFTC's Division of Swap Dealer and Intermediary Oversight issued a no-action letter to futures commission merchants, swap dealers and major swap


CFTC’s Massad on end-users
  • Stinson Leonard Street LLP
  • USA
  • February 26 2015

CFTC Chair Timothy G. Massad delivered a speech on the importance of providing flexibility in the CFTC's regulations to accommodate hedging by


End-users are Dodd-Frank collateral damage according to CFTC Commissioner
  • Stinson Leonard Street LLP
  • USA
  • January 29 2015

CFTC Commissioner J. Christopher Giancarlo recently delivered remarks where he stated "Unfortunately, caught up in some of the collateral damage


2nd Circuit says MD&A rules provide basis for 10b-5 claims
  • Stinson Leonard Street LLP
  • USA
  • January 16 2015

In Stratte-McClure v. Morgan Stanley et al, the Second Circuit held that MD&A rules set forth in Item 303 of Regulation S-K can give rise to a Rule


New legislation exempts swap end users from margin requirements
  • Stinson Leonard Street LLP
  • USA
  • January 9 2015

The House and Senate have passed legislation which provides that swap end-users do not have to provide initial and variation margin for uncleared