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Results: 1-10 of 125

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 Revises Whistleblower Rule to Enhance Anti-Retaliation Protection
  • Stinson Leonard Street LLP
  • USA
  • May 22 2017

The CFTC has adopted final amendments to its whistleblower rules that will, among other things, strengthen the CFTC’s anti-retaliation protections for


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


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 grants family offices relief from registration as commodity trading advisors
  • Stinson Leonard Street LLP
  • USA
  • November 25 2014

The CFTC previously granted family offices no-action relief from registration as commodity pool operators. That letter did not provide an exemption


CFTC’s initial attempts at data collection fail
  • Stinson Leonard Street LLP
  • USA
  • March 21 2013

Since the beginning of 2013, the CFTC has required certain market participants to report their interest rate and credit index swap trades to a swap


Bank regulators propose relaxed margin requirements for corporate end users of uncleared swaps
  • Stinson Leonard Street LLP
  • USA
  • September 9 2014

Five federal agencies have taken a second stab at a proposed rule to establish margin requirements for swap dealers, major swap participants


CFTC approves final regulations governing exemption from required clearing for inter-affiliate swaps
  • Stinson Leonard Street LLP
  • USA
  • April 1 2013

The CFTC has issued a final rule to exempt swaps between certain affiliated entities within a corporate group from the clearing requirement under the


Others may seek swap reporting delay like Southwest
  • Stinson Leonard Street LLP
  • USA
  • December 22 2014

Reuters has an interesting article about a no-action letter the CFTC issued to Southwest Airlines to permit a 15 calendar day delay in reporting oil


CFTC reminds all swap counterparties of April 10 deadline to obtain a CICI identifier
  • Stinson Leonard Street LLP
  • USA
  • March 20 2013

The Division of Market Oversight, or DMO, and Office of Data and Technology, or ODT of the CFTC have issued an advisory reminding all swap