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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 »

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Ethan Mark

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ethan.mark@stinsonleonard.com

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Posts from Ethan Mark

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 cybersecurity preparedness.  OCIE has issued a Risk Alert to provide additional information concerning its initiative to assess cybersecurity preparedness in the securities industry. As part of this initiative, OCIE will conduct... Read more →

by   |   April 16, 2014

OIG Finds Deficiencies in CFPB Supervisory Activities

Consumer Protection The Office of Inspector General of the Board of Governors of the Federal Reserve System conducted an initial evaluation to assess the operational efficiency and effectiveness of... Read more →

by   |   April 7, 2014

Case Illustrates Role of 10b5-1 Plans in Securities Litigation

Litigation, Public Companies and Securities A Fourth Circuit case, Yates v. Municipal Mortgage & Equity, LLC (March 2014), recently examined the role of 10b5-1 plans in an alleged securities fraud case involving a... Read more →

by   |   April 1, 2014

CFPB Wants Free Consumer Credit Scores

Consumer Protection In a recent speech, CFPB Director Richard Cordray stated “I recently sent letters and followed up with phone calls to the CEOs of the nation’s top credit card companies... Read more →

by   |   March 11, 2014