Stinson Leonard Street 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 »

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SEC Publishes 2015 Whistleblower Report


Employment, Litigation, Public Companies and Securities, Uncategorized The SEC published its 2015 Annual Report on the Dodd-Frank Whistleblower Program.  The report indicates the SEC received 3,923 tips in fiscal year 2015, compared to 3,620 tips in fiscal year 2014.  From fiscal year 2012, the first year for which the SEC has full-year data, to fiscal year 2015, the number of whistleblower tips […] Read more →

by   |   November 22, 2015


CFTC Makes Second Whistleblower Award

Employment, Uncategorized The U.S. Commodity Futures Trading Commission, or CFTC, announced that it will make an award of approximately $290,000 to a whistleblower for providing valuable information about... Read more →

by   |   October 4, 2015

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SEC Charges Investment Adviser with Cybersecurity Violations

Consumer Protection, Investment Advisers, Uncategorized The SEC recently commenced a settled enforcement action against an investment adviser, R.T. Jones Capital Equities Management, Inc., for cybersecurity matters.  Press reports... Read more →

by   |   September 23, 2015

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ISS Commences 2016 Proxy Voting Policy Survey

Executive Compensation, Public Companies and Securities, Uncategorized ISS has commenced its 2016 proxy voting policy survey. Some of the issues ISS seeks comment on include: Is it appropriate to use non-GAAP or adjusted GAAP metrics for compensation... Read more →

by   |   August 5, 2015