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Results: 1-10 of 119

Corzine Settles CFTC’s MF Global Charges for $5 Million
  • Stinson Leonard Street LLP
  • USA
  • January 5 2017

The U.S. Commodity Futures Trading Commission has obtained a federal court Consent Order against Defendant Jon S. Corzine, former CEO of MF Global Inc


SEC Finds Pre-IPO Transactions Were Unlawful Security-Based Swaps
  • Stinson Leonard Street LLP
  • USA
  • December 6 2016

The SEC announced that Equidate Inc. agreed to settle charges that it violated federal securities laws by failing to register security-based swaps


CFTC Approves Final Rule for Filing Chief Compliance Officer Annual Reports
  • Stinson Leonard Street LLP
  • USA
  • November 13 2016

The CFTC approved a final rule amending a CFTC regulation addressing the timing for filing chief compliance officer annual reports for certain


CFTC Extends Swap Dealer De Minimis Phase-In Period
  • Stinson Leonard Street LLP
  • USA
  • October 13 2016

As has been rumored in recent weeks, the CFTC has adopted an order establishing December 31, 2018 as the swap dealer registration de minimis threshold


SEC Says Mobile Phone Game is an Illegal Security-Based Swap
  • Stinson Leonard Street LLP
  • USA
  • October 13 2016

I previously discussed an SEC Investor Alert which said fantasy stock trading for small amounts of money can violate provisions of securities laws


CFTC Chief Supports Extension of Swap Dealer De Minimis Exemption
  • Stinson Leonard Street LLP
  • USA
  • September 16 2016

Under current CFTC rules, market participants who exceed $8 billion in gross notional swap dealing activity over a twelve-month period are required to


CFTC Proposes to Amend Whistleblower Rules to Provide Anti-Retaliation Enforcement Authority
  • Stinson Leonard Street LLP
  • USA
  • September 1 2016

The CFTC has proposed amendments to its whistleblower rules that reinterpret its anti-retaliation authority and proposes appropriate rule amendments


CFTC Collects $2.69 Million in Spoofing Action
  • Stinson Leonard Street LLP
  • USA
  • April 5 2016

The CFTC announced that a federal court in New York issued a Consent Order imposing a permanent injunction against CFTC Defendants Heet Khara and


CFTC Provides Delivery Method for Volcker Rule CEO Attestation
  • Stinson Leonard Street LLP
  • USA
  • March 15 2016

The Division of Swap Dealer and Intermediary Oversight of the Commodity Futures Trading Commission, or CFTC, announced that certain banking entities


CFTC Beats Kraft’s Motion to Dismiss on Novel Claim
  • Stinson Leonard Street LLP
  • USA
  • December 22 2015

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