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 Uncategorized

T+2 Settlement Gathers Momentum

Broker-Dealer, Municipal Advisors, Public Companies and Securities, Uncategorized FINRA is seeking comment on proposed amendments to FINRA rules shortening the securities settlement cycle to two days.  The rulemaking notice cites a September 2015 letter in which SEC Chair White responded to industry groups expressing her strong support for industry efforts to shorten the trade settlement cycle to T+2 and urging the industry to […] Read more →

by   |   March 9, 2016

Same Plaintiff Files New Complaint to Force SEC to Act on Rulemaking Petition Regarding Political Contributions

Public Companies and Securities, Uncategorized The United States District Court for the District of Columbia recently dismissed Stephen M. Silberstein’s complaint to mandate the SEC to adopt rules regarding disclosure of... Read more →

by   |   February 8, 2016

US Capitol Building

U.S. House of Representatives Pass Bill Seeking to Raise Disclosure Thresholds under SEC Rule 701

Public Companies and Securities, Uncategorized A bill (H.R. 1675) seeking to increase the information disclosure threshold under SEC Rule 701 passed the U.S. House of Representatives on February 3 by a vote of 265 to 159. Rule... Read more →

by   |   February 4, 2016

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... Read more →

by   |   November 22, 2015