Stinson Leonard Street 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 »


Steve Quinlivan

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Posts from Steve Quinlivan

SEC Proposes Rule Requiring Investment Advisers to Adopt Business Continuity and Transition Plans

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Investment Advisers, Private Equity In its third rulemaking in two days without holding a meeting, the SEC proposed a new rule that would require registered investment advisers to adopt and implement written business continuity and transition plans. The proposed rule is designed to ensure that investment advisers have plans in place to address operational and other risks related to […] Read more →

by   |   June 28, 2016


Court Holds Drafting Contracts Violates Sarbanes-Oxley

Litigation, Public Companies and Securities Section 802 of the Sarbanes-Oxley Act added the following provision to 18 U.S.C. § 1519: “Sec. 1519. Destruction, alteration, or falsification of records in Federal... Read more →

by   |   June 28, 2016

resource exctraction

SEC Adopts Resource Extraction Rules

Public Companies and Securities Responding to a court order, the SEC adopted rules to require resource extraction issuers to disclose payments made to governments for the commercial development of oil, natural... Read more →

by   |   June 27, 2016


SEC Proposes Increasing Threshold to Qualify as a Smaller Reporting Company

Public Companies and Securities The SEC has proposed amendments that would increase the financial thresholds in the “smaller reporting company” definition. The proposal to update the definition would expand... Read more →

by   |   June 27, 2016