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

Case Illustrates Role of 10b5-1 Plans in Securities Litigation

Litigation, Public Companies and Securities A Fourth Circuit case, Yates v. Municipal Mortgage & Equity, LLC (March 2014), recently examined the role of 10b5-1 plans in an alleged securities fraud case involving a financial statement restatement.  To prevail on a Rule 10b-5 claim, plaintiffs must prove scienter, amongst other things.  Evidence of insider trading is often advanced as motive, because […] Read more →

by   |   April 1, 2014

PCAOB Member Disputes Audit Firms’ Tales

Public Companies and Securities, Uncategorized Jeanette M. Franzel, PCAOB Board Member, recently gave her views on the PCAOB’s requirements.  Ms. Franzel noted the PCAOB has heard that in response to some recent changes,... Read more →

by   |   April 1, 2014

SEC Investment Management Division Provides Social Media Guidance

Investment Advisers, Private Equity Investment Advisers Act Rule 206(4)-1(a)(1) states that: “[i]t shall constitute a fraudulent, deceptive, or manipulative act, practice, or course of business . . . for any... Read more →

by   |   March 31, 2014

Minnesota Revised Uniform Limited Liability Company Act

Uncategorized Minnesota has adopted the Minnesota Revised Uniform Limited Liability Company Act (the “Revised Act”) and the legislation was signed into law by Governor Dayton on April 11,... Read more →

by   |   March 29, 2014