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

Agencies Seek Comment on Dodd-Frank Act Stress Test Guidance for Medium-sized Firms

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Banking Three federal bank regulatory agencies are seeking comment on proposed guidance describing supervisory expectations for stress tests conducted by financial companies with total consolidated assets between $10 billion and $50 billion. These medium-sized companies are required to conduct annual company-run stress tests beginning this fall under rules the agencies issued in October 2012 to implement […] Read more →

by   |   July 30, 2013

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High Frequency Trader “Spoofs” and “Layers” his Way to Penalties from U.S and British Regulators

Broker-Dealer, Energy On July 22, 2013, regulators from the United States Commodity Futures Trading Commission (CFTC) and the British Financial Conduct Authority (FCA) fined high frequency trader... Read more →

by   |   July 30, 2013

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Lawmakers Claim SEC Proposals Are Contrary to JOBS Act

Public Companies and Securities The SEC recently issued proposals related to Regulation D which, among other things, require a Form D to be filed fifteen days before a general solicitation under Rule 506(c) can... Read more →

by   |   July 29, 2013

CFPB Commences Action for Violation of Loan Originator Compensation Rules

Banking, Consumer Protection The CFPB filed a complaint in federal district court against a Utah-based mortgage company, Castle & Cooke Mortgage LLC, and two of its officers for illegally giving bonuses... Read more →

by   |   July 29, 2013