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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 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 proposes rules establishing duties of swap dealers and major swap participants
  • Stinson Leonard Street LLP
  • USA
  • November 16 2010

The Commodity Futures Trading, or CFTC, has proposed regulations to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act


CFTC proposes rules on conflicts of interest policies and procedures by swap dealers and major swap participants
  • Stinson Leonard Street LLP
  • USA
  • November 16 2010

The Commodity Futures Trading Commission, or CFTC, has proposed rules to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act


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 brings first ever charges for insider trading in commodities
  • Stinson Leonard Street LLP
  • USA
  • December 4 2015

The CFTC issued an Order filing and simultaneously settling charges against Arya Motazedi for engaging in fraudulent transactions in the New York


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


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 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


CFTC Commissioners bicker about budget and performance report
  • Stinson Leonard Street LLP
  • USA
  • April 12 2013

There continues to be significant public discord amongst the Commissioners at the CFTC. 2014 Budget; According to Commissioner Scott O’Malia “Given