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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


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


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


CFCT sheds light on definition of commodity pool
  • Stinson Leonard Street LLP
  • USA
  • October 12 2012

Perhaps one of the most important questions since the Dodd-Frank Act is “What is a commodity pool”?


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


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


CFTC: if Rule 10b-5 works for the SEC, it should work for us too (and maybe we’ll win more than one case every 35 years)
  • Stinson Leonard Street LLP
  • USA
  • July 7 2011

The CFTC’s new anti-manipulation and anti-fraud rules are based on the SEC’s Rule 10b-5


CFTC to hold open meeting on second series of proposed rules under the Dodd-Frank Act
  • Stinson Leonard Street LLP
  • USA
  • October 13 2010

The Commodity Futures Trading Commission (CFTC) will hold a public meeting on Tuesday, October 19, 2010, at 9:30 a.m. to consider the issuance of the following proposed rulemakings under the Dodd-Frank Wall Street Reform and Consumer Protection Act


SEC issues concept release on swap definitions and announces roundtable on clearing and listing of swaps
  • Stinson Leonard Street LLP
  • USA
  • August 13 2010

Section 712(d) and 721(c) of the Dodd-Frank Act requires the SEC and CFTC to define certain terms such as "swap", "security-based swap", "swap dealer", "security-based swap dealer", "major swap participant", "major security-based swap participant", "eligible contract participant", and "security-based swap agreement"


CFTC to propose definitions of “swap dealer” and “major swap participant” on Dec 1
  • Stinson Leonard Street LLP
  • USA
  • November 24 2010

The Commodity Futures Trading Commission, or CFTC, will hold a public meeting on Wednesday, December 1, 2010, to consider the issuance of proposed rulemakings under the Dodd-Frank Wall Street Reform and Consumer Protection Act on the following topics:Further definition of "swap dealer," "security-based swap dealer," "major swap participant" and "eligible contract participant."