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 »

Latest Dodd-Frank Posts

GAO Study Finds Problems With Conflict Free Minerals Sourcing

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Public Companies and Securities, Uncategorized The Government Accountability Office, or GAO, has published a study highlighting some issues with conflict-free minerals sourcing.  Agency and industry officials as well as representatives from international organizations and nongovernmental organizations stated that adoption of the SEC conflicts minerals rule as well as stakeholder-developed initiatives—which include the development of guidance... Read more →

by   |   July 19, 2013

Removal of General Solicitation Requirements Triggers Additional SEC Proposals

Public Companies and Securities The SEC has adopted final rules eliminating the ban on general solicitations in Rule 506 offerings.  As a result of the magnitude of the changes, the SEC has proposed a number of... Read more →

by   |   July 15, 2013

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SEC Commissioner Speaks to Role of Proxy Advisory Firms

Broker-Dealer, Investment Advisers, Public Companies and Securities, Uncategorized SEC Commissioner Daniel M. Gallagher recently gave a speech to the National Conference of the Society of Corporate Secretaries  & Governance Profesionals.  In the speech... Read more →

by   |   July 15, 2013

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Final SEC Rule Disqualifying Bad Actors From Rule 506 Offerings

Banking, Broker-Dealer, Investment Advisers, Private Equity, Public Companies and Securities The SEC has adopted final rules to implement Section 926 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Section 926 required the SEC to adopt rules that... Read more →

by   |   July 12, 2013