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 Issues Final Rules on Audits of Broker-Dealers


Broker-Dealer The SEC has amended certain broker-dealer annual reporting, audit, and notification requirements. The amendments include a requirement that broker-dealer audits be conducted in accordance with standards of the Public Company Accounting Oversight Board, or PCAOB, in light of explicit oversight authority provided to the PCAOB by the DoddFrank Wall Street Reform and Consumer Protection Act […] Read more →

by   |   July 31, 2013

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Agencies Seek Comment on Dodd-Frank Act Stress Test Guidance for Medium-sized Firms

Banking Three federal bank regulatory agencies are seeking comment on proposed guidance describing supervisory expectations for stress tests conducted by financial companies with total... Read more →

by   |   July 30, 2013

Yellow Penalty Flag

High Frequency Trader “Spoofs” and “Layers” his Way to Penalties from U.S and British Regulators

Broker-Dealer, Energy On July 22, 2013, regulators from the United States Commodity Futures Trading Commission (CFTC) and the British Financial Conduct Authority (FCA) fined high frequency trader... Read more →

by   |   July 30, 2013


Lawmakers Claim SEC Proposals Are Contrary to JOBS Act

Public Companies and Securities The SEC recently issued proposals related to Regulation D which, among other things, require a Form D to be filed fifteen days before a general solicitation under Rule 506(c) can... Read more →

by   |   July 29, 2013