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

CFTC & FERC Take Steps to Implement Information Sharing MOU

Derivatives, Energy Today the CFTC and FERC announced the initial transmission of market data under the recently adopted CFTC-FERC Memorandum of Understanding (MOU) for use in analyzing market activities and protecting market integrity. The two agencies also announced the creation of a staff-level Interagency Surveillance and Data Analytics Working Group to coordinate information sharing between the agencies […] Read more →

by   |   March 5, 2014

Private Companies Can Have SOX Whistleblowers Too

Employment, Litigation, Public Companies and Securities Section 806 of the Sarbanes-Oxley Act, codified at 18 U.SC. §1514A provides in part that: “No [public] company . . . , or any officer, employee, contractor, subcontractor, or... Read more →

by   |   March 5, 2014

Industry Has Until April 16 to Comment on Restricting the Physical Commodity Activities of Financial Holding Companies

Energy The Board of Governors of the Federal Reserve System (Board) has extended the date – until April 16, 2014 – to comment on whether additional restrictions should be imposed on... Read more →

by   |   March 4, 2014

MSRB to Implement Registration Process for Municipal Securities Dealers and Municipal Advisors

Broker-Dealer, Municipal Advisors The Municipal Securities Rulemaking Board, or MSRB, has received approval from the SEC to consolidate its multiple registration requirements and forms for municipal securities... Read more →

by   |   February 27, 2014