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Results: 1-10 of 38

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


SEC says fantasy stock trading violates securities laws; charges others for selling illegal security-based swaps
  • Stinson Leonard Street LLP
  • USA
  • June 17 2015

The SEC issued an Investor Alert which says fantasy stock trading for small amounts of money can violate provisions of securities laws implemented by


What really happened to the swap pushout rule and Dodd-Frank sleepers from Cromnibus
  • Stinson Leonard Street LLP
  • USA
  • December 17 2014

The swap pushout rule was originally embodied in Section 716 of the Dodd-Frank Act. Among other things, it prohibited "federal assistance" to any


Hedge fund and its partner and lawyer fail on motion to dismiss for breach of fiduciary duty
  • Stinson Leonard Street LLP
  • USA
  • October 5 2014

A case against a hedge fund, and one of its partners and in-house counsel, related to actions at a portfolio company and alleging breach of fiduciary


Public companies: board should review end-user swap approvals annually
  • Stinson Leonard Street LLP
  • USA
  • June 4 2014

The Dodd-Frank Act permits certain end-users to elect to use an exception to the swap clearing requirements under certain conditions, which is


SEC adopts standards for risk management and operations of clearing agencies
  • Stinson Leonard Street LLP
  • USA
  • October 22 2012

The SEC has adopted rule 17Ad-22 that establishes standards for how registered clearing agencies should manage their risks and run their operations


SEC staff analysis of market data related to credit default swap transactions
  • Stinson Leonard Street LLP
  • USA
  • March 16 2012

The SEC staff has made available an analysis of market data related to credit default swap transactions


CFTC Volker Rule proposal is a Rube Goldberg contraption
  • Stinson Leonard Street LLP
  • USA
  • January 11 2012

The Commodity Futures Trading Commission, or CFTC, has proposed rules implementing the so-called “Volcker Rule” requirements of Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act


Comparing the CFTC position limits litigation with the SEC proxy access litigation
  • Stinson Leonard Street LLP
  • USA
  • December 4 2011

The International Swaps and Derivatives Association, Inc., or ISDA, and the Securities Industry and Financial Markets Association, or SIFMA, have filed a legal challenge to the CFTC’s final rules that limit the positions that investors may own in certain commodities


The details of Form PF
  • Stinson Leonard Street LLP
  • USA
  • November 15 2011

The SEC has recently adopted final Form PF, which requires reporting of certain information by advisers to hedge funds and private equity groups, as required by the Dodd-Frank Act