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 Litigation

CFTC to Shift Enforcement Actions to Administrative Courts

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Banking, Derivatives, Energy, Litigation The CFTC plans to revive the use of administrative courts to bring enforcement actions for violations of the Commodity Exchange Act and CFTC regulations, according to recent remarks by Aitan Goelman, Director of the Division of Enforcement (reported here by Reuters). This marks a shift from the agency’s practice in recent years of prosecuting such […] Read more →

by   |   March 21, 2015

governance

SEC Chair White Warns on Fee Shifting Bylaws

Litigation, M&A, Public Companies and Securities In remarks at a conference attended by M&A professionals, SEC Chair White gave her views on fee shifting bylaws.  Currently the SEC staff is focused on making sure the... Read more →

by   |   March 19, 2015

whistleblower

2nd Circuit Upholds SEC’s Denial of Whistleblower Award

Employment, Litigation, Public Companies and Securities Larry Stryker petitioned the Second Circuit for review of an order of the SEC that denied his claim for a whistleblower award. He sought the award under Section 21F of the... Read more →

by   |   March 15, 2015

bad actor

SEC Issues Policy on Bad Actor Waivers

Litigation, Public Companies and Securities In an effort to quell internal (including outspoken SEC Commissioners) and external criticism, the SEC has published its policy on bad actor waivers. The policy looks fair on its... Read more →

by   |   March 14, 2015