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

Unregistered Finder Settles with the SEC, Agrees to Pay Millions

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Broker-Dealer, Consumer Protection, Energy, Private Equity, Public Companies and Securities The SEC recently settled an enforcement action against an individual alleged to have sold millions of dollars in securities on behalf of oil and gas companies without being associated with a registered broker dealer, as required by Section 15(a) of the Securities Exchange Act of 1934. Under the terms of the settlement, Behrooz Sarafraz has […] Read more →

by   |   May 16, 2014

NAM’s Next Move in Conflict Minerals Case

Litigation, Public Companies and Securities Now that NAM et al’s emergency stay motion in the conflicts minerals case has been denied, the question is what happens next.  Clues can be found in the briefing for the... Read more →

by   |   May 15, 2014

NAM Motion for Emergency Stay Denied in Conflict Minerals Case

Litigation, Public Companies and Securities The United States Court of Appeals for the District of Columbia has issued a per curiam  order denying NAM’s motion for an emergency stay of the conflict minerals rules. ... Read more →

by   |   May 14, 2014

NAM Replies to SEC in Conflict Minerals Emergency Stay

Litigation, Public Companies and Securities NAM et al have filed their reply brief in the conflict minerals emergency stay hearing.  Highlights, many of which are not new points, are: The rule must be vacated because it... Read more →

by   |   May 13, 2014