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

ISS Charged with Selling Shareholder Vote Data; Agrees to $300,000 Settlement

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Investment Advisers, Public Companies and Securities The SEC and Institutional Shareholder Services, Inc. (ISS) have settled public administrative and cease-and-desist proceedings initiated against ISS by the SEC alleging that ISS violated Section 204A of the Advisers Act by failing to establish, maintain, and enforce written policies and procedures designed to prevent the use of material nonpublic information by ISS in violation […] Read more →

by   |   May 24, 2013

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Court Finds Internal Reporting by Whistleblower Entitled to Dodd-Frank Protections

Broker-Dealer, Employment, Investment Advisers, Litigation, Public Companies and Securities In Murray v. UBS Securities LLC et al (12-CV-5914 S.D.N.Y.) the court found that an employee who reports violations of securities laws to his supervisor, but not the SEC, is... Read more →

by   |   May 23, 2013

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SEC Provides No-Action Relief on Regulation BTR

Employment, Executive Compensation, Public Companies and Securities Broadly speaking, SEC Regulation BTR prohibits directors and executive officers of public companies from trading in the issuer’s securities which were acquired in connection... Read more →

by   |   May 22, 2013

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SEC Commissioner Comments on JOBS Act; Immigration Reform

Consumer Protection, Private Equity On May 18, 2013, SEC Commissioner Luis A. Aguilar spoke at the annual gala of the Georgia Hispanic Chamber of Commerce, using the opportunity to highlight the contributions of... Read more →

by   |   May 21, 2013