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

Court Finds Dodd-Frank Does Not Apply to Foreign Whistleblowers

Employment, Litigation, Public Companies and Securities, Uncategorized The United States District Court for the Southern District of New York recently dismissed a case with prejudice by an employee whistleblower that lived in Taiwan.  The court stated there is no evidence that Congress intended the ant-retaliation provisions of Dodd-Frank to apply extraterritorially. Check dodd-frank.com frequently for updated information on the JOBS Act, the […] Read more →

by   |   October 27, 2013

SEC Targets Investment Advisers With Previously Identified Exam Deficiencies

Investment Advisers, Private Equity The SEC has sanctioned three investment advisory firms for repeatedly ignoring problems with their compliance programs. The enforcement actions arise from the agency’s... Read more →

by   |   October 23, 2013

SEC is Monitoring General Solicitations

Investment Advisers, Private Equity, Public Companies and Securities In another of what seems to be a blizzard of speeches by SEC officials, SEC Chair Mary Jo White commented on steps the SEC is taking to monitor general solicitations for... Read more →

by   |   October 19, 2013

SEC logo

Mary Jo White on the Future of Disclosure

Public Companies and Securities Mary Jo White, Chair of the SEC, recently gave her thoughts on the future of disclosure.  Some of her key points were: Information Overload: Ms. White raised the question as to... Read more →

by   |   October 16, 2013