Stinson Leonard Street 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

Open for Business: Comments on the SEC’s Latest Regulation D Proposals

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Broker-Dealer, Consumer Protection, Private Equity A review of some of the approximately 300 comment letters the SEC has received relating to its latest round of Regulation D proposals is a showcase for the various types of companies that have already sprung up in the hopes of profiting from the general solicitation and (eventually) crowdfunding rules.  As we previously noted, the […] Read more →

by   |   August 26, 2013

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CFTC Clarifies That Typical Retail Energy Contracts Are Not Subject to Regulation Under Dodd-Frank’s Retail Commodity Transaction Provisions

Energy On Friday August 23, the Commodity Futures Trading Commission clarified that typical retail energy contracts with homeowners and commercial users will not be subject to the... Read more →

by   |   August 26, 2013

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10 Minute Overview of General Solicitation and Crowdfunding

Broker-Dealer, Private Equity On August 19, Nicole Strydom and I gave a 10 minute presentation on the general solicitation rules and the current status of “crowdfunding” at a ceremony to announce the... Read more →

by   |   August 21, 2013

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SEC Charges Private Equity Fund Manager with Misleading Investors about Valuation and Performance

Investment Advisers, Private Equity The SEC has charged a former portfolio manager at Oppenheimer & Co. with misleading investors about the valuation and performance of a fund consisting of other private equity... Read more →

by   |   August 20, 2013