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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

When is a Consultant an Executive Officer? – SEC Brings Another Case

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Employment, Litigation, Public Companies and Securities The SEC has instituted administrative proceedings against a registrant and others alleging that two individuals with prior law violations secretly controlled the operational and management decisions of the registrant while calling themselves outside “consultants.”  According to the SEC this arrangement enabled the two consultants to be de facto officers of the registrant and personally profit... Read more →

by   |   July 16, 2014

Due Process Requires US Committee on Foreign Investment to Let the Sunshine In

Energy On July 15 the United States Court of Appeals for the District of Columbia Circuit told CFIUS (the Committee on Foreign Investment in the United States) that constitutional due... Read more →

by   |   July 16, 2014

Conflict Minerals: SEC Position on Non-Metallic Forms of Tin

Public Companies and Securities, Uncategorized Shortly before the filing deadline for the first conflict minerals filings on Form SD, it became known that the SEC believed non-metallic forms of tin are not conflict minerals... Read more →

by   |   July 15, 2014

FSOC = Firing Squad On Capitalism Says SEC Commissioner

Banking, Broker-Dealer, Insurance Speaking at a conference, SEC Commissioner Michael S. Piwowar’s opening remarks included “In preparing for this speech, I thought a lot about what moniker I could use to best... Read more →

by   |   July 15, 2014