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 »

Public Companies: Board Should Review End-User Swap Approvals Annually

Derivatives, Public Companies and Securities The Dodd-Frank Act permits certain end-users to elect to use an exception to the swap clearing requirements under certain conditions, which is referred to as the end-user exception.  For public companies, the ability to elect the end-user exception requires a committee of the public company to review and approve the decision to use uncleared swaps. […] Read more →

by   |   June 4, 2014

SEC Approves Additional Changes to FINRA Corporate Financing Rule

Broker-Dealer, Public Companies and Securities The SEC has approved additional changes to the FINRA Corporate Financing Rule.  The approved changes: expand the circumstances under which members and issuers may negotiate... Read more →

by   |   May 12, 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

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