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 Cops Bust 36 for Failure to File Ownership Reports

Investment Advisers, Litigation, Public Companies and Securities The SEC charged 29 officers, directors, or major shareholders for violating federal securities laws requiring them to promptly report information about their holdings and transactions in company stock.  Seven publicly-traded companies were charged for contributing to filing failures by insiders or failing to report their insiders’ filing delinquencies. 35 of the 36 agreed to settle […] Read more →

by   |   September 10, 2014

Bank Regulators Propose Relaxed Margin Requirements for Corporate End Users of Uncleared Swaps

Banking, Derivatives Five federal agencies have taken a second stab at a  proposed rule to establish margin requirements for swap dealers, major swap participants, security-based swap dealers, and... Read more →

by   |   September 9, 2014

CFTC Eliminates Barrier to Hedge Funds Using JOBS Act General Solicitation

Investment Advisers, Public Companies and Securities Many hedge funds have been reluctant to use general solicitation to offer securities because of the possibility it would be inconsistent from exemptions related to CPO (commodity... Read more →

by   |   September 9, 2014

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SEC Proposes Communications Exemption for Certain Security Based Swaps

Broker-Dealer, Derivatives The Dodd-Frank Act amended the Securities Act of 1933 and the Securities Exchange Act of 1934  to include “security-based swaps” in the definition of “security” for... Read more →

by   |   September 8, 2014