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 »

Dodd-Frank Banking

SEC Warns Rating Agencies

US Capitol Building

Banking, Litigation, Public Companies and Securities The Securities and Exchange Commission today issued a report cautioning credit rating agencies about deceptive ratings conduct and the importance of sufficient internal controls over the policies, procedures, and methodologies the firms use to determine credit ratings. The report says that because of uncertainty regarding a jurisdictional nexus between the United States and the relevant […] Read more →

by   |   August 31, 2010

SEC logo

Whistleblower claims begin

Banking, Employment, Litigation, Public Companies and Securities In a comment letter recently sent to the SEC, one firm describes how in a span of just 10 days it had already “filed several whistle-blower complaints with the SEC, pursuant to... Read more →

by   |   August 31, 2010

Stacks of Coins

CFTC and SEC Roundtable Contentious

Banking, Energy, Insurance, Public Companies and Securities As we noted, the SEC and CFTC held a joint roundtable on August 20, 2010 addressing governance and conflicts of interest on clearing and listing of swap transactions.  Gary... Read more →

by   |   August 22, 2010

Fiduciary Duty Rulemaking Looms for Brokerage Industry

Banking, Litigation, Public Companies and Securities An article in yesterday’s Wall Street Journal provides a good, short overview of the issues and differing viewpoints surrounding the SEC’s upcoming broker-dealer... Read more →

by   |   August 19, 2010