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

Second Conflict Minerals Report Filed

Public Companies and Securities The second Form SD and related conflicts minerals report has been filed (our blog on the first one is here).  They are interesting documents but may still not be the holy grail of precedents because of, among other things, the use of terms like “Conflict Free Undeterminable” which drifts from the SEC lexicon of “DRC […] Read more →

by   |   May 12, 2014

SEC Approves Additional Changes to FINRA Corporate Financing Rule

Broker-Dealer, Public Companies and Securities The SEC has approved additional changes to the FINRA Corporate Financing Rule.  The approved changes: expand the circumstances under which members and issuers may negotiate... Read more →

by   |   May 12, 2014

MSRB Says Pay-to-Play Rules Coming to Municipal Advisors

Municipal Advisors, Uncategorized Following its quarterly meeting, the Municipal Securities Rulemaking Board, or MSRB, stated its Board agreed to extend its pay-to-play rules to municipal advisors. Other items on... Read more →

by   |   May 11, 2014

SEC Discusses Troubling Private Equity Practices

Investment Advisers, Private Equity, Uncategorized Andrew J. Bowden, Director, SEC Office of Compliance Inspections and Examinations, gave a talk where he discussed troubling practices identified in examinations of private equity... Read more →

by   |   May 10, 2014