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

SEC Removes References to NRSRO Ratings in Certain Rules and Forms

Public Companies and Securities The SEC has adopted amendments (here and here) to eliminate references in certain of its rules and forms to credit ratings by nationally recognized statistical rating organizations, or NRSROs. The changes were required by the Dodd-Frank Wall Street Reform and Consumer Protection Act and remove credit rating references from: Rule 5b-3 under the Investment Company […] Read more →

by   |   January 4, 2014

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New Rule 506 FAQs: 20% Beneficial Owners, 506(e) Disclosure

Broker-Dealer, Private Equity, Public Companies and Securities As we’ve described previously, new Rule 506(d) imposes a number of bad actor disqualifications on certain persons that are associated with the issuer, including officers,... Read more →

by   |   January 4, 2014

New Year Brings Changes to End User Reporting Requirements for Trade Options and Swaps

Derivatives, Energy The first half of 2014 will bring changes to the end user reporting requirements for trade options and swaps—namely, (1) the commencement of the annual Form TO reporting... Read more →

by and   |   December 31, 2013

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Summary of Proposed Amendments to Regulation A

Broker-Dealer, Private Equity, Public Companies and Securities On December 18, 2013, the SEC published its proposal to modify Regulation A.   The SEC is proposing to expand Regulation A into two tiers:  Tier 1, for offerings of up to $5... Read more →

by , and   |   December 30, 2013