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

SEC Denies No Action Request Under Family Office Rule

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Investment Advisers A recent no-action letter provides some clarification on the application of the new exemption from registration under the Investment Advisers Act of 1940 for “family offices.” Background Historically, Section 203(b)(3) of the Investment Advisers Act of 1940 allowed persons who would otherwise be required to register as investment advisers to avoid registration if they had […] Read more →

by   |   April 17, 2012

GAO Seal

SEC’s Internal Controls Still Deficient

Public Companies and Securities In GAO’s audit of  the SEC’s fiscal years 2011 and 2010 financial statements, GAO identified four significant deficiencies in internal control as of September 30, 2011. These... Read more →

by   |   April 16, 2012

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CFPB Issues Guidance Regarding Service Providers

Consumer Protection The Consumer Financial Protection Bureau, or CFPB, has released a bulletin clarifying that financial institutions under Bureau supervision may be held responsible for the actions... Read more →

by   |   April 16, 2012

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CFPB Considers Reg Z Changes Regarding Limits on Fees Before Account Opening

Consumer Protection The Bureau of Consumer Financial Protection, or CFPB, is proposing to amend Regulation Z, which implements the Truth In Lending Act, and the official interpretation to the... Read more →

by   |   April 14, 2012