Stinson Leonard Street 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

CFTC Extends Exemptions of RTO Energy Products to Bar Private Rights of Action

CFTC logo4

Derivatives, Energy The CFTC quelled a controversy that had emerged regarding its proposed exemption of certain specified energy products transacted in Regional Transmission Organizations (RTO) by doing a “180” on its proposals that otherwise would have made the general anti-fraud, anti-manipulation, and scienter-based prohibitions that still apply to such transactions under the Commodity Exchange Act enforceable... Read more →

by   |   October 24, 2016


SEC Exams Looking for Whistleblower Violations

Broker-Dealer, Employment, Executive Compensation, Investment Advisers, Litigation SEC staff in the Office of Compliance Inspections and Examinations are examining compliance with key whistleblower provisions arising out of the Dodd-Frank Wall Street Reform and... Read more →

by   |   October 24, 2016


The SEC’s Universal Proxy Rulemaking: History & What to Expect

Public Companies and Securities The SEC has announced it will consider proposed rules that permit the use of universal proxy cards in contested elections on October 26, 2016. The concept of a universal proxy has... Read more →

by and   |   October 23, 2016


Corp Fin Issues Three New and Revised Interpretations of the Securities Act Rules

Public Companies and Securities On October 19th, the Division of Corporation Finance released three new and revised Compliance and Disclosure Interpretations (C&DIs) concerning the Securities Act.┬áRevised... Read more →

by   |   October 20, 2016