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Results: 1-10 of 124

CFTC Proposes Amendments to Chief Compliance Officer Duties and Annual Reports
  • Stinson Leonard Street LLP
  • USA
  • May 3 2017

The CFTC is proposing to amend its regulations regarding certain duties of chief compliance officers, or CCOs, of swap dealers, major swap


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 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


CFTC Requests Public Input on Simplifying Rules
  • Stinson Leonard Street LLP
  • USA
  • May 4 2017

The CFTC voted to seek public input on simplifying and modernizing the Commission’s rules. The action is part of an initiative which has been dubbed


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


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


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 Adopts Final Margin Rules for Uncleared Swaps
  • Stinson Leonard Street LLP
  • USA
  • December 16 2015

The CFTC has approved a final rule on margin requirements for uncleared swaps for swap dealers (SDs) and major swap participants (MSPs). The new


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


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