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 Proposes Regulation Best Interest for Broker-Dealers

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Broker-Dealer, Investment Advisers The SEC has proposed two rules and an interpretation to address retail investor confusion about the relationships that they have with investment professionals and the harm that may result from that confusion. Confusion has resulted from differing standards applied to broker-dealers and investment advisers. As a result of the proposed rules, the SEC will consider […] Read more →

by   |   April 18, 2018

SEC Clarifies Need for GAAP Reconciliations for Forecasts Used in Business Combinations

M&A, Public Companies and Securities The SEC previously noted in a Compliance and Disclosure Interpretation that financial measures included in forecasts provided to a financial advisor and used in connection with a... Read more →

by   |   April 4, 2018

ISS Updates FAQs on U.S. Proxy Voting Research and Policies

Public Companies and Securities ISS has updated its frequently asked questions on U.S. Proxy Voting Research Procedures & Policies (Excluding Compensation-Related). New and updated questions include: When... Read more →

by   |   April 2, 2018

“True Lender” Litigation on the Rise: Recent Litigation and Enforcement Actions Challenge Traditional Bank Partnership Model

Banking, Consumer Protection, Litigation Over the last two years the financial industry has seen an uptick in litigation and enforcement actions aimed at banks and their non-bank lending partners. These actions have... Read more →

by   |   April 2, 2018