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 Wants Municipalities to Self-Report Violations — MCDC

Litigation The SEC has announced a new cooperation initiative out of its Enforcement Division to encourage issuers and underwriters of municipal securities to self-report certain violations of the federal securities laws rather than wait for their violations to be detected. Under the Municipalities Continuing Disclosure Cooperation, or  MCDC, Initiative, the Enforcement Division will recommend standardized,... Read more →

by   |   March 10, 2014

Reg 506(b) Offerings Continue to Dominate Regulation D Practice

Private Equity, Public Companies and Securities, Uncategorized A recent study by Crowdnetic indicates Regulation D offerings under Rule 506(b) without general solicitation continue to dominate over Rule 506(c) offerings with general... Read more →

by   |   March 9, 2014

Alleged Securities Fraud at Dewey & LeBoeuf

Consumer Protection On March 6, 2014, the SEC brought charges of securities fraud against a handful of executives and finance professionals from the now-defunct global mega-firm Dewey &... Read more →

by   |   March 9, 2014

The Auditing Roundtable Releases Guidance for Conflict Minerals IPSA Performance Audits

Public Companies and Securities Certain companies subject to the conflict minerals rules requirement must commission an independent private sector audit, or IPSA, of certain sections of the conflict minerals... Read more →

by   |   March 8, 2014