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 »

CFPB Issues Report on Compliance Costs

Consumer Protection The Consumer Financial Protection Bureau, or CFPB, has issued a report entitled “Understanding the Effects of Certain Deposit Regulations on Financial Institutions’ Operations: Findings on Relative Costs for Systems, Personnel, and Processes at Seven Institutions.” The report is a step by the CFPB to collect and evaluate information on the benefits, costs, and impacts of […] Read more →

by   |   December 2, 2013

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D&O Questionnaire Update Forms for 2014

Public Companies and Securities The SEC has adopted rules prohibiting “bad actors” from using Rule 506 after September 23, 2013 (the effective date of the rules), or if prohibited conduct occurred prior to... Read more →

by , , and   |   December 1, 2013

Integration Issues Under the JOBS Act

Private Equity, Public Companies and Securities The integration doctrine must be considered when an issuer conducts multiple offerings in a short period of time.  If applicable, multiple offerings are collapsed to determine if... Read more →

by   |   November 18, 2013

SEC Expects Companies to Transition to New COSO Framework for Internal Control Reporting

Public Companies and Securities When evaluating internal control over financial reporting, Exchange Act Rule 13a-15(c) requires the evaluation to be based on a framework that is “a suitable, recognized... Read more →

by   |   November 15, 2013