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 Sanctions Two Investment Advisers for Impeding Examinations


Investment Advisers, Litigation, Private Equity The Securities and Exchange Commission has sanctioned two investment advisory firms for impeding examinations conducted by SEC staff. An SEC investigation found that Evens Barthelemy and his New York-based firm Barthelemy Group LLC misled SEC examiners by inflating the firm’s claimed assets under management (AUM) ten-fold in an apparent attempt to show that the firm […] Read more →

by   |   November 20, 2012

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CFTC Issues Proposed Swaps Report for Public Comment

Derivatives The Commodity Futures Trading Commission, or CFTC, has issued, for public comment, a proposed CFTC Swaps Report that, when the proposal is finalized, will give the public a view... Read more →

by   |   November 19, 2012


ISS Releases 2013 Policy Updates

Executive Compensation, Public Companies and Securities, Uncategorized ISS has released its 2013 policy updates. Highlights of the new policies include: Pledging of Company Stock.  ISS’ proposed draft policy on the practice of pledging company... Read more →

by   |   November 16, 2012

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SEC Issues Staff Summary Report of Examinations of Nationally Recognized Statistical Rating Organizations

Uncategorized The SEC has issued its second annual staff report on the findings of examinations of credit rating agencies registered with the SEC as Nationally Recognized Statistical Rating... Read more →

by   |   November 16, 2012