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Results: 1-10 of 126

OCC Seeks Comment on Volcker Rule to Implement Treasury Recommendations
  • Stinson Leonard Street LLP
  • USA
  • August 2 2017

The Office of the Comptroller of the Currency is seeking comment to assist in determining how the final rule implementing section 13 of the Bank


CFTC Revises Record Keeping Requirements
  • Stinson Leonard Street LLP
  • USA
  • May 24 2017

The CFTC has issued final amendments to Regulation 1.31 which sets forth the form and manner in which all regulatory records must be kept by records


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 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 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


CFTC Initiates Project KISS
  • Stinson Leonard Street LLP
  • USA
  • March 31 2017

In remarks at a conference, CFTC Acting Chairman J. Christopher Giancarlo announced the CFTC’s intent to comply with an Executive Order which requires


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


Corzine Settles CFTC’s MF Global Charges for $5 Million
  • Stinson Leonard Street LLP
  • USA
  • January 5 2017

The U.S. Commodity Futures Trading Commission has obtained a federal court Consent Order against Defendant Jon S. Corzine, former CEO of MF Global Inc


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


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