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

SEC Brings First Case for Misleading Chief Compliance Officer

Scale and Gavel

Investment Advisers, Private Equity The SEC has sanctioned a former portfolio manager at a Boulder, Colo.-based investment adviser for forging documents and misleading the firm’s chief compliance officer to conceal his failure to report personal trades. According to the SEC, an investigation found that Carl Johns of Louisville, Colo., failed to pre-clear or report several hundred securities trades in […] Read more →

by   |   August 27, 2013

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Open for Business: Comments on the SEC’s Latest Regulation D Proposals

Broker-Dealer, Consumer Protection, Private Equity A review of some of the approximately 300 comment letters the SEC has received relating to its latest round of Regulation D proposals is a showcase for the various types of... Read more →

by   |   August 26, 2013

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CFTC Clarifies That Typical Retail Energy Contracts Are Not Subject to Regulation Under Dodd-Frank’s Retail Commodity Transaction Provisions

Energy On Friday August 23, the Commodity Futures Trading Commission clarified that typical retail energy contracts with homeowners and commercial users will not be subject to the... Read more →

by   |   August 26, 2013

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10 Minute Overview of General Solicitation and Crowdfunding

Broker-Dealer, Private Equity On August 19, Nicole Strydom and I gave a 10 minute presentation on the general solicitation rules and the current status of “crowdfunding” at a ceremony to announce the... Read more →

by   |   August 21, 2013