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

SEC Targets Lapses in Ownership Reporting in Battles for Corporate Control

SEC logo

Litigation, M&A, Public Companies and Securities The SEC has recently announced settlement of enforcement actions targeting violations of beneficial reporting requirements under Section 13(d) of the Act. In one of the most recent actions (available here), the SEC’s Enforcement Staff brought proceedings against certain shareholder activists and their affiliate for failing to properly disclose beneficial ownership information during a series of... Read more →

by   |   February 14, 2017

Trump’s 2 for 1 Regulatory Reduction Challenged in Court

Litigation, Trump President Donald Trump’s Executive Order requiring two regulations be repealed for every new one adopted and related OMB guidance have been challenged in a law suit... Read more →

by   |   February 8, 2017

SEC Brings Enforcement Action for Disclosure Failures During Merger Talks

Litigation, M&A The SEC announced that Allergan Inc. had agreed to admit securities law violations and pay a $15 million penalty for disclosure failures in the wake of a hostile takeover bid. The... Read more →

by   |   January 20, 2017

Pay-to-Play Enforcement Sweep Snares Private Equity and Venture Capital

Litigation, Private Equity On January 17, 2017, the SEC announced nine settled enforcement actions for violations of the pay-to-pay rule against private equity, venture capital and hedge fund sponsors. The... Read more →

by   |   January 20, 2017