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Results: 1-10 of 119

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


Major banks agree to temporarily stay swap termination under ISDA protocol
  • Stinson Leonard Street LLP
  • USA
  • October 12 2014

The International Swaps and Derivatives Association, Inc., or ISDA, announced that 18 major global banks, referred to as G-18, have agreed to sign a


CFTC addresses definition of eligible contract participant
  • Stinson Leonard Street LLP
  • USA
  • October 13 2012

Section 723(a)(2) of the Dodd-Frank Wall Street Reform and Consumer Protection Act amended Section 2(e) of the Commodity Exchange Act, or CEA to provide that “it shall be unlawful for any person, other than an eligible contract participant, or ECP, to enter into a swap unless the swap is entered into on, or subject to the rules of, a board of trade designated as a contract market under section 5.”


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 moves against Bitcoin transactions
  • Stinson Leonard Street LLP
  • USA
  • September 25 2015

In the space of just seven days, the CFTC has brought two enforcement actions regarding Bitcoin transactions. Coinflip, Inc. In the first action, the


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 report indicates CFTC botched swap dealer de minimis exemption
  • Stinson Leonard Street LLP
  • USA
  • November 18 2015

CFTC staff issued a preliminary report regarding the swap dealer de minimis exception. Under CFTC rules, market participants who exceed $8 billion in


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


SEC proposes end-user requirements under Dodd-Frank Act for security-based swaps exempt from mandatory clearing
  • Stinson Leonard Street LLP
  • USA
  • December 15 2010

The SEC has proposed requirements of end-users when they engage in a security-based swap transaction that is not subject to mandatory clearing


SEC proposes review process for mandatory clearing of security-based swaps under Dodd-Frank Act
  • Stinson Leonard Street LLP
  • USA
  • December 16 2010

The SEC has proposed rules required under the Dodd-Frank Act that would set out the way in which clearing agencies provide information to the SEC about security-based swaps that the clearing agencies plan to accept for clearing