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

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

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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 701 exempts from registration issuer sales or grants of securities to employees under written compensatory plans.  Pursuant to Rule 701, issuers need only provide […] 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

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