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

Protecting a Position by “Banging the Close” and “Spoofing” Will Be Penalized – the CFTC

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Energy On November 6, 2013, the Commodity Futures Trading Commission filed suit against Donald R. Wilson and his company, DRW Investments, for “banging the close” and “spoofing” the IDEX USD Three-Month Interest Rate Swap Futures Contract (the “Three-Month Contract”) from January 2011 through August 2011. See CFTC Banging the Close and Spoofing pdf. DRW Investments took a $350 […] Read more →

by   |   November 21, 2013

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First Pay-to-Play Exemption Becomes Effective for Hedge Fund

Investment Advisers Rule 206(4)-5(a)(1) under the Investment Advisers Act prohibits a registered investment adviser from providing investment advisory services for compensation to a government entity... Read more →

by   |   November 21, 2013

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Representatives Object to Exemption From Resource Extraction Rule Disclosures

Public Companies and Securities Congress is working to reconcile differing versions of legislation to implement an Obama Administration deal with Mexico to develop oil and gas resources in the Gulf of Mexico. ... Read more →

by   |   November 19, 2013

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SEC Chair Discusses Potential Changes to Accredited Investor Definition

Broker-Dealer, Consumer Protection, Investment Advisers, Private Equity, Public Companies and Securities In a November 15, 2013 letter to Representative Scott Garrett (Chairman of the Subcommittee on Capital Markets and Government-Sponsored Enterprises for the House Financial... Read more →

by   |   November 19, 2013