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 Whistleblowers to Receive $125,000


Employment, Litigation, Public Companies and Securities The SEC previously awarded three whistleblowers in a hedge fund case an aggregate of 15% of certain funds collected. The SEC has announced that approximately $170,000 has been administratively forfeited by the defendant in a criminal proceeding – money that is deemed collected for purposes of issuing whistleblower awards.  Therefore, the three whistleblowers will now […] Read more →

by   |   August 30, 2013

bank pic

Many Banks Not Ready for New CFPB Mortgage Rules

Banking, Consumer Protection In a letter to various regulators, the American Bankers Association noted survey data which highlights practical challenges associated with fully complying with all of the... Read more →

by   |   August 28, 2013


Regulators Propose New Risk Retention Rule

Banking Six federal agencies have issued a notice revising a proposed rule requiring sponsors of securitization transactions to retain risk in those transactions. The new proposal revises... Read more →

by   |   August 28, 2013

Scale and Gavel

SEC Brings First Case for Misleading Chief Compliance Officer

Investment Advisers, Private Equity The SEC has sanctioned a former portfolio manager at a Boulder, Colo.-based investment adviser for forging documents and misleading the firm’s chief compliance officer to... Read more →

by   |   August 27, 2013