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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


SEC Approves T2 settlement; Abides by T4 settlement for Firm Commitment Deals
  • Stinson Leonard Street LLP
  • USA
  • February 14 2017

On February 10th, the SEC took action to formally approve of changes proposed by the NASDAQ Stock Market, NYSE MKT LLC, and New York Stock Exchange


The Volcker Rule Under the Trump Administration
  • Stinson Leonard Street LLP
  • USA
  • January 13 2017

The so-called Volcker Rulenamed after Paul Volcker, a former chairman of the Federal Reserve Boardwas part of the Dodd-Frank Wall Street Reform and


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


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 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


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