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 Adopts Final Whistleblower Rules

Employment, Litigation, Public Companies and Securities The SEC has adopted final whistleblower rules under Section 922 of the Dodd-Frank Act.  A controversial issue with respect to the proposed rules  was the impact of the whistleblower program on companies’ internal compliance processes.   The final rules do not to include a requirement that whistleblowers report violations internally, but the SEC has made additional […] Read more →

by   |   May 25, 2011

First Dodd-Frank Whistleblower Case May Impact Internal Investigations

Employment, Litigation, Public Companies and Securities [Update:  The case against TradingScreen was ultimately dismissed.  Interested readers should refer to subsequent case history.] Egan v. TradingScreen Inc. (S.D.N.Y. May 4,... Read more →

by   |   May 10, 2011

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Recent SEC Comments on Issuers’ Disclosures of Loss Contingencies

Litigation, Public Companies and Securities It is no secret that the SEC is expected to review disclosures regarding loss contingencies this year.  To see what may be ahead, we looked at some recent SEC comment letters... Read more →

by   |   May 2, 2011

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Gupta Claims Dodd-Frank Cannot be Applied Retroactively

Litigation, Public Companies and Securities The SEC brought civil insider trading charges against Rajat Gupta in an administrative proceeding.  In so doing, the SEC used newly granted authority under the Dodd-Frank Act to... Read more →

by   |   March 18, 2011