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

Intel Files Conflict Minerals Report

Public Companies and Securities The holy grail (at least so far) of conflict minerals precedents was filed with the SEC albeit perhaps too late for many issuers to wholesale change course.  But still excellent for a final form check.  Intel’s Form SD can be found here and its conflict minerals report can be found here. Perhaps somewhat surprisingly Intel […] Read more →

by   |   May 22, 2014

When Will the SEC Bring an Action Against a Chief Compliance Officer?

Broker-Dealer, Investment Advisers, Litigation, Private Equity In a couple of speeches at Compliance Week 2014, SEC officials spoke of when it would be appropriate to bring an enforcement action against a Chief Compliance officer, or CCO. SEC... Read more →

by   |   May 21, 2014

CFTC to Make First Whistleblower Award for $240,000 — But Why?

Derivatives, Employment, Litigation The CFTC has a whistleblower award program that is separate from, but somewhat similar to, the SEC’s whistleblower award program. Both are mandated by the Dodd-Frank Act. The... Read more →

by   |   May 20, 2014

SEC Issues Additional FAQs on Engineering Exclusion from Municipal Advisor Rules

Municipal Advisors We have reviewed prior SEC guidance on the municipal advisor rules, from a view point of structuring a business to avoid a municipal advisory role, here and here.  The SEC has... Read more →

by   |   May 19, 2014