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CFTC Initiates Project KISS
  • Stinson Leonard Street LLP
  • USA
  • March 31 2017

In remarks at a conference, CFTC Acting Chairman J. Christopher Giancarlo announced the CFTC’s intent to comply with an Executive Order which requires


SEC Denies Listing of another Bitcoin Fund; Petition for Review Filed for Winklevoss Bitcoin Trust
  • Stinson Leonard Street LLP
  • USA
  • March 28 2017

The SEC has denied a proposed rule change by NYSE Arca to permit the listing and trading of shares of the SolidX Bitcoin Trust. The reasons were


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


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 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


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