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

10th Circuit Finds SEC Administrative Proceedings are Unconstitutional

Litigation The Appointments Clause of the US Constitution requires that “inferior officers” be appointed by the President, department heads or courts of law. SEC administrative law judges, or ALJs, are not appointed by the SEC – they are hired by the SEC’s Office of Administrative Law Judges, with input from the Chief Administrative Law Judge, human […] Read more →

by   |   December 28, 2016

Delaware Court Addresses Fee-Shifting Bylaw

Litigation, M&A, Public Companies and Securities In 2015, Section 115 was added to the Delaware General Corporation Law, or DGCL providing that Delaware corporations may adopt bylaws requiring that internal corporate claims be... Read more →

by   |   December 28, 2016

SEC Finds Pre-IPO Transactions Were Unlawful Security-Based Swaps

Derivatives, Litigation, Public Companies and Securities The SEC announced that Equidate Inc. agreed to settle charges that it violated federal securities laws by failing to register security-based swaps that were offered and sold... Read more →

by   |   December 6, 2016

The Domestic Corrupt Practices Act Arrives According to the SEC

Litigation, Public Companies and Securities The Securities and Exchange Commission announced that the parent company of United Airlines has agreed to pay $2.4 million to settle charges for providing  a public official... Read more →

by   |   December 2, 2016