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 Consumer Protection

SEC and North American Securities Administrators Association Sign Information-Sharing Agreement

Consumer Protection, Crowdfunding On February 17, 2017, the Securities and Exchange Commission (SEC) and the North America Securities Administrators Association (NASAA) entered into an information-sharing agreement in connection with intrastate crowdfunding and regional offering rules. As these new rules begin to take effect, NASAA and the SEC plan to share information regarding their observations of the new capital-raising regimes. Last... Read more →

by   |   February 19, 2017

SEC logo

Legislation Creating Small Business Advocacy within the SEC Heading to the President’s Desk

Broker-Dealer, Consumer Protection, Public Companies and Securities On December 10, the SEC Small Business Advocate Act was approved by the Senate, clearing the way for signature by the President. The measure, which creates an advocacy office for... Read more →

by   |   December 12, 2016

House Passes Creating Financial Prosperity for Businesses and Investors Act

Broker-Dealer, Consumer Protection, Crowdfunding, Investment Advisers, Private Equity On Monday, the House of Representatives passed the Creating Financial Prosperity for Businesses and Investors Act (H.R. 6427) (the “Act”) by a vote of 398 to 2. The Act is... Read more →

by   |   December 6, 2016

CFPB Outlines Expectations on Incentive Compensation

Banking, Consumer Protection, Employment, Executive Compensation The CFPB issued a bulletin warning supervised financial companies that creating incentives for employees and service providers to meet sales and other business goals can lead to... Read more →

by   |   November 30, 2016