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 Charges Hedge Fund Adviser With Participating in Conflicted Principal Transaction

Investment Advisers, Public Companies and Securities The SEC has charged the adviser to a New York-based hedge fund with breaching his fiduciary duty by engineering an undisclosed principal transaction in which he had a financial conflict of interest. The SEC alleges that Shadron L. Stastney, a partner at investment advisory firm Vicis Capital LLC, traded as a principal when he authorized […] Read more →

by   |   September 19, 2013

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Pay Ratio Disclosures Made Simple

Executive Compensation, Public Companies and Securities The SEC has proposed rules related to pay ratio disclosures required by Section 953(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act.  It works like this: Make... Read more →

by   |   September 18, 2013

conflict minerals

Petition Submitted to SEC for Alternative Conflict Minerals Reporting

Public Companies and Securities A law firm has submitted a rule making petition to the SEC to amend the rule governing the conflict minerals disclosure on Form SD to permit, for a temporary period, an... Read more →

by   |   September 12, 2013

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Current SEC Priorities Regarding Hedge Fund Managers

Investment Advisers, Litigation, Public Companies and Securities Norm Champ, the SEC’s Director of the Division of Investment Management, recently gave a speech addressing the SEC’s priorities regarding hedge fund managers. As to the JOBS... Read more →

by   |   September 12, 2013