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 Uses Risk Analytics to Nab Hedge Fund

Investment Advisers, Litigation, Private Equity The SEC charged a London-based hedge fund adviser and its former U.S.-based holding company with internal controls failures that led to the overvaluation of a fund’s assets and inflated fee revenue for the firms.  The case arose from the SEC’s Aberrational Performance Inquiry, an initiative by the Enforcement Division’s Asset Management Unit that uses proprietary […] Read more →

by   |   December 12, 2013

Volcker Rule Has Vague Guidance About Prohibited Compensation

Banking, Broker-Dealer, Employment, Executive Compensation The so-called Volcker Rule, as required to be implemented by the Dodd-Frank Act, generally prohibits any banking entity from engaging in proprietary trading.  The final rule has... Read more →

by   |   December 10, 2013

SEC Grants First Rule 506 Bad Actor Waiver

Public Companies and Securities The SEC has granted the first bad actor waiver under Rule 506 to RBS Securities.  RBS pointed out the following to the SEC: The disqualifying judgment arose out of a single... Read more →

by   |   December 6, 2013

Second Recent CFTC “Banging the Close” Case Results in Various CEA Violations, Fines, Trading Bans

Energy On November 25, 2013, the Commodity Futures Trading Commission (CFTC) settled with Daniel Shak and SHK Management LLC (collectively Respondents) for violating the Commodity... Read more →

by   |   December 6, 2013