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 Releases New FAQs on General Solicitation

Broker-Dealer, Consumer Protection, Private Equity, Public Companies and Securities On November 13, 2013, the SEC released new compliance and disclosure interpretations (which we’re calling FAQs) aimed at addressing common questions relating to private offerings that make use of general solicitation under new Rule 506(c) and Rule 144A.  Rule 144A / Regulation S Clarifications Regulation S provides an exemption for offers and sales of securities […] Read more →

by   |   November 14, 2013

Whistleblower Not Entitled to Jury Trial

Employment, Litigation In Pruett v BlueLinx Holdings, Inc., decided by the United States District Court for the Northern District of Georgia (1:13-cv-02607), the court held that a whistleblower suing... Read more →

by   |   November 13, 2013

“Red Flags” of Market Manipulation and Effective Compliance Programs

Energy Last week current and former supervisory personnel in the Enforcement Divisions of the Commodity Futures Trading Commission and Federal Energy Regulatory Commission spoke – at... Read more →

by   |   November 13, 2013

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Hedge Fund Administrator Enters Into First Individual Deferred Prosecution Agreement with SEC

Investment Advisers, Litigation, Private Equity, Uncategorized The SEC announced a deferred prosecution agreement, or DPA, with a former hedge fund administrator who helped the agency take action against a hedge fund manager who allegedly... Read more →

by   |   November 12, 2013