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

FSOC Designates AIG and GECC as Nonbank Financial Companies

FSOC

Banking FSOC has designated the following as nonbank financial companies: American International Group, Inc General Electric Capital Corporation, Inc Under Section 113 of the Dodd-Frank Act, the Council is authorized to determine that a nonbank financial company’s material financial distress—or the nature, scope, size, scale, concentration, interconnectedness, or mix of its activities—could pose a threat to... Read more →

by   |   July 9, 2013

whistleblower

SEC Denies Another Whistleblower Claim

Employment, Public Companies and Securities The SEC has denied granting an award to another whistleblower in the second action of this year.  The SEC determined that the whistleblower did not provide any “original... Read more →

by   |   July 4, 2013

Changes to FINRA Rule 5123

Broker-Dealer, Private Equity On June 20, 2013, FINRA proposed changes to Rule 5123 that would require offering documents in connection with certain private placements to be filed electronically by FINRA... Read more →

by   |   July 3, 2013

Scale and Gavel

Court Vacates SEC Resource Extraction Rules

Public Companies and Securities The United States District Court for the District of Columbia has vacated the SEC resource extraction disclosure rules.  In so doing, the Court noted: The Dodd-Frank Act did not... Read more →

by   |   July 3, 2013