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 »

Dodd-Frank Broker-Dealer

First Public Company Receives Benefit of SEC Cooperation Policy—Implications for Whistleblower Claims

Banking, Broker-Dealer, Employment, Insurance, Litigation, Public Companies and Securities The first public company received credit for its cooperation as a result of the SEC’s policy with respect to cooperation in investigations and enforcement actions announced in January 2010.  The public company, Carter’s, Inc., entered into a non-prosecution agreement.  The SEC charged a former Executive Vice President of Carter’s Inc. for engaging in financial fraud […] Read more →

by   |   December 20, 2010

SEC logo

SEC Proposes Permanent Rule Requiring Municipal Advisors to Register With Agency

Banking, Broker-Dealer, Investment Advisers The SEC has proposed a rule creating a new process by which municipal advisors must register with the SEC.  The proposed rule, required by the Dodd-Frank Wall Street Reform and... Read more →

by   |   December 20, 2010

Will Whistleblower Claims Give Rise to More SEC Enforcement Actions?

Broker-Dealer, Investment Advisers, Private Equity The Dodd-Frank Act’s whistleblower protection provisions will go into effect no later than nine months after July 22, 2010.  When they do, it will be interesting to see if they... Read more →

by   |   December 9, 2010

US Capitol Building

Treasury Requests Private Sector to Develop System to Identify Financial Contracts

Banking, Broker-Dealer, Derivatives, Insurance The Dodd-Frank Wall Street Reform and Consumer Protection Act established the Office of Financial Research and provides it with the authority to collect data to support the... Read more →

by   |   December 3, 2010