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

MSRB Adopts Dealer Role-Switching Prohibition to Eliminate Conflict of Interest in Municipal Securities Underwriting

msrb

Municipal Advisors The Municipal Securities Rulemaking Board, or  MSRB, has adopted a significant rule change to address concerns over conflicts of interest by financial intermediaries in municipal bond underwritings. The change prohibits municipal securities dealers from acting as a financial advisor to a municipal entity on a new bond issue and subsequently acting as an underwriter on […] Read more →

by   |   May 31, 2011

conflict minerals

Public Company Disclosures Regarding “Conflict Minerals” Will Affect Private Companies

Public Companies and Securities The SEC has proposed rules mandated by the Dodd-Frank Act that would require new disclosures by public companies concerning conflict minerals that originated in the Democratic... Read more →

by   |   May 30, 2011

SEC logo

Issuers Will Face Difficult Judgments Under Reg D Bad Actor Disqualifications

Uncategorized As we have noted, the SEC has proposed rules under Section 926 of the Dodd-Frank Act to disqualify offerings involving felons and other “bad actors” and associated persons ... Read more →

by   |   May 27, 2011

whistleblower

SEC Whistleblower Rules Exclude Certain Company Personnel

Employment, Public Companies and Securities The proposed SEC whistleblower rules excluded certain company personnel from making whistleblower claims.  For instance, a person with legal, compliance, audit, supervisory, or... Read more →

by   |   May 26, 2011