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

CFPB Speaks to Disclosure of its Confidential Supervisory Information

Banking, Consumer Protection The CFPB issued a compliance bulletin setting forth its views that, with limited exceptions, persons in possession of confidential information, including confidential supervisory information, or CSI, may not disclose such information to third parties. The bulletin: sets forth the definition of CSI; provides examples of CSI; highlights certain legal restrictions on the disclosure of CSI; and […] Read more →

by   |   January 29, 2015

CFTC logo4

End-Users Are Dodd-Frank Collateral Damage According To CFTC Commissioner

Derivatives CFTC Commissioner J. Christopher Giancarlo recently delivered remarks where he stated “Unfortunately, caught up in some of the collateral damage surrounding the Dodd-Frank... Read more →

by   |   January 29, 2015

financial statements

PCAOB Alerts on Deficiencies in Broker-Deal Audits

Broker-Dealer The first five inspections of broker-dealer audit and new attestation engagements subject to PCAOB standards show deficiencies in the auditors’ application of these... Read more →

by   |   January 28, 2015

bad actor

SEC Grants Second Bad Actor Waiver With Conditions

Broker-Dealer, Litigation SEC Commissioner Kara Stein recently described what many saw as a possible model for harsher bad actor waivers after settling a matter with the SEC.  According to Ms. Stein... Read more →

by   |   January 27, 2015