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 Report on Analyst Conflicts of Interest

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Broker-Dealer GAO has issued a report under Section 919A of the Dodd-Frank Wall Street Reform and Consumer Protection Act requires that requires GAO to identify and examine potential conflicts of interest between investment banking and both equity and fixed-income (debt) research staff in the same firm. The report examines: the effectiveness of the regulatory actions taken […] Read more →

by   |   January 16, 2012

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Company Seeks Exclusion of Shareholder Proposal Relating to Clawbacks

Executive Compensation, Public Companies and Securities Morgan Stanley seeks to exclude the following shareholder proposal submitted on behalf of the Comptroller of the City of New York as custodian and a trustee of several pension... Read more →

by   |   January 16, 2012

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Say-on-Pay Did Not Change State Law Fiduciary Duties According to Federal Court

Executive Compensation, Public Companies and Securities The case of Dennis v. Hart, before the U.S. District Court for the Southern District of California, is another recent decision regarding litigation resulting from a say-on-pay... Read more →

by   |   January 16, 2012

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CFTC Approves Final Rules Regarding Business Conduct Standards for Swap Dealers and Major Swap Participants

Banking, Derivatives, Energy The CFTC has approved its final rules regarding business conduct standards for swap dealers (“SDs”) and major swap participants (“MSPs”), which governs their dealings with... Read more →

by   |   January 12, 2012