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

House Committee to Hold Hearing on Oversight of Investment Advisers

SEC logo

Investment Advisers, Private Equity The SEC previously released a staff study on enhancing investment adviser examinations required by Section 914 of the Dodd-Frank Act.  The staff noted the SEC faces significant capacity challenges in examining registered investment advisers.  Some of the recommendations of the staff were that Congress should consider: Authorizing one or more self regulatory organizations, or SROs, […] Read more →

by   |   September 9, 2011

CFTC logo4

CFTC Proposes Rules on Implementation Phasing; Rule Making to Continue Into 2012

Derivatives The CFTC has adopted two proposed rules on what it calls “implementation phasing.” This relates to the timeline under which various market participants will bring their swap... Read more →

by   |   September 9, 2011

SEC logo

SEC Will Not Seek Rehearing on Proxy Access Decision

Public Companies and Securities SEC Rule 14a-11 allowed a shareholder (or group of shareholders) to include a shareholder nominee, in certain limited circumstances, in a public company’s proxy statement. The... Read more →

by   |   September 7, 2011


Mutual Funds Begin Disclosures of Say-on-Pay Votes

Executive Compensation, Public Companies and Securities Mutual funds have begun disclosing their say-on-pay votes.  The disclosures are being made on Form N-PX.  Here is an example of the disclosure that T. Rowe Price Index Trust,... Read more →

by   |   August 31, 2011