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

The Meaning of “DRC Conflict Undeterminable”

Public Companies and Securities, Uncategorized Some issuers who are required to progress far enough down the conflict minerals decision tree may be unable, after performing due diligence, to determine whether conflict minerals in relevant products financed or benefitted armed groups.  While such issuers will still be required to file a conflict minerals report, for a period of time those issuers […] Read more →

by   |   November 22, 2013

US Capitol Building

SEC Issues Credit Rating Agency Independence Study – No Changes Necessary

Uncategorized The staff of the Office of Credit Ratings of the SEC has submitted a study  under Section 939C  of the Dodd-Frank Wall Street Reform and Consumer Protection Act to the Committee... Read more →

by   |   November 21, 2013

Protecting a Position by “Banging the Close” and “Spoofing” Will Be Penalized – the CFTC

Energy On November 6, 2013, the Commodity Futures Trading Commission filed suit against Donald R. Wilson and his company, DRW Investments, for “banging the close” and “spoofing”... Read more →

by   |   November 21, 2013

First Pay-to-Play Exemption Becomes Effective for Hedge Fund

Investment Advisers Rule 206(4)-5(a)(1) under the Investment Advisers Act prohibits a registered investment adviser from providing investment advisory services for compensation to a government entity... Read more →

by   |   November 21, 2013