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Commodity Exchange Act (CEA) › Dodd-Frank Wall Street Reform and Consumer Protection Act › Securities Violations

Stinson - Corporate & Securities Law Blog

SEC Finds Pre-IPO Transactions Were Unlawful Security-Based Swaps

Stinson - Corporate & Securities Law Blog on

The SEC announced that Equidate Inc. agreed to settle charges that it violated federal securities laws by failing to register security-based swaps that were offered and sold online to shareholders in pre-IPO companies....more

Perkins Coie

CFTC Proposes Rules to Align with SEC Whistleblower Program

Perkins Coie on

The U.S. Commodity Futures Trading Commission (CFTC) proposed amendments last month to the regulations governing its whistleblower bounty program. A number of the changes are aimed at more closely aligning the CFTC’s...more

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