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Results: 11-20 of 263

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


CFTC Extends Exemptions of RTO Energy Products to Bar Private Rights of Action
  • Stinson Leonard Street LLP
  • USA
  • October 24 2016

The CFTC quelled a controversy that had emerged regarding its proposed exemption of certain specified energy products transacted in Regional


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 Supplemental Proposal Would Authorize Exchanges to Administer More Flexible Approach to Bona Fide Hedge Exemption to Position Limits
  • Stinson Leonard Street LLP
  • USA
  • June 14 2016

The CFTC has published a proposed supplement to its December 2013 proposed rule on position limits that would, among other things, authorize


OTC Markets, Inc. Asks SEC To Open Regulation A to Reporting Issuers
  • Stinson Leonard Street LLP
  • USA
  • June 9 2016

On June 6, 2016, the OTC Markets Group Inc., the entity operating three major over-the-counter marketplaces ("OTC"), submitted a rulemaking petition


CFTC proposal invites private litigation of RTO market manipulation theories
  • Stinson Leonard Street LLP
  • USA
  • May 13 2016

With its proposed order issued earlier this week, the Commodity Futures Trading Commission (CFTC) may be making an already complicated landscape


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