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

Rule 506 FAQs: Some Answers, Some New Questions

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Broker-Dealer, Consumer Protection, Investment Advisers, Private Equity, Public Companies and Securities On December 4, 2013, the SEC released a new batch of FAQs regarding new Rules 506(d) and 506(e). Before diving in to the clarifications provided and the new uncertainties raised by the SEC in the new FAQs, you might want to take a quick look back at our prior post explaining the rules.  Broadly speaking, […] Read more →

by   |   December 4, 2013

CFPB to Oversee Nonbank Student Loan Servicers

Consumer Protection The CFPB has issued a rule that allows the CFPB to supervise certain nonbank student loan servicers for the first time. The CFPB currently oversees student loan servicing at the... Read more →

by   |   December 3, 2013

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SEC Gives Guidance on Venture Capital Exemption

Investment Advisers The SEC Division of Investment Management has provided guidance regarding the application of the exemption from investment adviser registration available to an investment adviser... Read more →

by   |   December 2, 2013

Dodd-Frank Corporate Governance

Nasdaq Proposes Changes to Compensation Committee Independence Requirements

Executive Compensation, Public Companies and Securities, Uncategorized When implementing SEC Exchange Act Rule 10C-1 regarding the independence of compensation committee members, Nasdaq adopted a prohibition on the receipt of compensatory fees by... Read more →

by   |   December 2, 2013