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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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Steve Quinlivan

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Posts from Steve Quinlivan

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

CFTC logo4

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 reforms were the traditional commodity and energy markets and the end-users who depend on them for a variety of uses. Yet, end-users were not the source of the financial crisis. That is […] 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

shareholders

Business Roundtable Gives ISS its Views on Proxy Access

Public Companies and Securities The SEC Division of Corporation Finance recently informed public companies that it will express no views on the application of Rule 14a-8(i)(9) during the current proxy season. ... Read more →

by   |   January 23, 2015