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 Awards and Denies Whistleblower Claims in Hedge Fund Case

whistleblower

Investment Advisers, Public Companies and Securities On October 26, 2011, the Commission filed an enforcement action in SEC v. Andrey C. Hicks and Locust Offshore Management, LLC, 1:11-cv-11888-RGS (D. Mass. 2011) (the “Locust Matter”). The SEC alleged in its complaint that the defendants, Andrey C. Hicks (“Hicks”) and Locust Offshore Management, LLC (“Locust”), committed fraud in connection with the offer and […] Read more →

by   |   June 12, 2013

conflict minerals

AICPA Addresses Independence on Conflict Minerals Audits

Public Companies and Securities The AICPA has issued non-authoritative guidance which provides that auditing an SEC issuer’s financial statements and performing an independent private sector audit of a... Read more →

by   |   June 12, 2013

ISDA Risk Disclosure Documents for Swaps

Derivatives The CFTC business conduct rules require swap dealers to disclose the material risks of a particular swap to a counterparty, which may include market, credit, liquidity, foreign... Read more →

by   |   June 7, 2013

bank pic

Minneapolis Fed Quantifies Cost of Increased Regulation for Community Banks

Banking The Federal Reserve Bank of Minneapolis has published a study that seeks to quantify the cost of increased regulation on community banks. It models the impact of new regulatory... Read more →

by   |   June 5, 2013