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 Commissioner Speaks to Role of Proxy Advisory Firms

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Broker-Dealer, Investment Advisers, Public Companies and Securities, Uncategorized SEC Commissioner Daniel M. Gallagher recently gave a speech to the National Conference of the Society of Corporate Secretaries  & Governance Profesionals.  In the speech Commissioner Gallagher noted that: In 2003, the SEC adopted a new rule and rule amendments under the Investment Advisers Act of 1940 addressing an investment adviser’s fiduciary obligation to its […] Read more →

by   |   July 15, 2013

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Final SEC Rule Disqualifying Bad Actors From Rule 506 Offerings

Banking, Broker-Dealer, Investment Advisers, Private Equity, Public Companies and Securities The SEC has adopted final rules to implement Section 926 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Section 926 required the SEC to adopt rules that... Read more →

by   |   July 12, 2013

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General Solicitation Under the Final JOBS Act Rules

Investment Advisers, Private Equity, Public Companies and Securities The SEC has adopted final rules eliminating the ban on general solicitation and advertising in Rule 506 offerings.  The changes are mostly embodied in new Rule 506(c). Definition... Read more →

by   |   July 11, 2013

FSOC

FSOC Designates AIG and GECC as Nonbank Financial Companies

Banking FSOC has designated the following as nonbank financial companies: American International Group, Inc General Electric Capital Corporation, Inc Under Section 113 of the Dodd-Frank... Read more →

by   |   July 9, 2013