Stinson Leonard Street Dodd Frank

MAKING SENSE OF DODD-FRANK

The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Latest Dodd-Frank Posts

SEC Announcements on Confidential Treatment Requests and Glossy Annual Reports

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Public Companies and Securities, Uncategorized The SEC Division of Corporation Finance has recently posted two Division Announcements: As of April 9, 2014, in cases where the SEC staff has determined to grant a request for confidential treatment without providing comments, the staff will no longer separately notify the applicant in connection with issuing an order.  The SEC will continue to […] Read more →

by   |   April 18, 2014

SEC’s OCIE Announces Cybersecurity Examinations of Broker-Dealers and Registered Investment Advisers

Broker-Dealer, Investment Advisers The SEC’s Office of Compliance Inspections and Examinations, or OCIE, previously announced that its 2014 Examination Priorities included a focus on technology, including... Read more →

by   |   April 16, 2014

conflict minerals

Mandate Withheld in Conflicts Minerals Case

Public Companies and Securities In a little known action, the Clerk of Court of the Unites States Court of Appeals for the District of Columbia issued an order in the conflicts minerals case to withhold issuance... Read more →

by   |   April 15, 2014

Quinlivan_Stephen_M4x5 2014 bio photo

Court Invalidates Conflict Minerals Rule Because it Crosses First Amendment Line

Public Companies and Securities In the end, it’s pretty simple.  The court held the conflicts minerals rule and statute embodied in Dodd-Frank violate the First Amendment to the extent the statute and rule... Read more →

by   |   April 14, 2014