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

New SEC Rules for Intrastate and Regional Securities Offerings

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Crowdfunding, Public Companies and Securities The SEC has adopted final rules to modernize intrastate securities offerings under Rule 147, adopted new Rule 147A to broaden the availability of the existing safe harbor for intrastate securities offerings and amended Rule 504 of Regulation D to facilitate regional securities offerings by increasing the maximum amount of securities which may be sold under […] Read more →

by and   |   October 26, 2016


SEC Exams Looking for Whistleblower Violations

Broker-Dealer, Employment, Executive Compensation, Investment Advisers, Litigation SEC staff in the Office of Compliance Inspections and Examinations are examining compliance with key whistleblower provisions arising out of the Dodd-Frank Wall Street Reform and... Read more →

by   |   October 24, 2016


The SEC’s Universal Proxy Rulemaking: History & What to Expect

Public Companies and Securities The SEC has announced it will consider proposed rules that permit the use of universal proxy cards in contested elections on October 26, 2016. The concept of a universal proxy has... Read more →

by and   |   October 23, 2016

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Bank Regulators Issue Notice of Proposed Rulemaking on Enhanced Cyber Risk Management Standards

Banking Three federal banking regulatory agencies have approved an advance notice of proposed rulemaking (ANPR) inviting comment on a set of potential enhanced cybersecurity... Read more →

by   |   October 19, 2016