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 Grants First Rule 506 Bad Actor Waiver

Public Companies and Securities The SEC has granted the first bad actor waiver under Rule 506 to RBS Securities.  RBS pointed out the following to the SEC: The disqualifying judgment arose out of a single offering of residential mortgage-backed securities in 2007. The conduct did not pertain to offerings under Regulation A or D. RBS Securities has taken steps […] Read more →

by   |   December 6, 2013

Second Recent CFTC “Banging the Close” Case Results in Various CEA Violations, Fines, Trading Bans

Energy On November 25, 2013, the Commodity Futures Trading Commission (CFTC) settled with Daniel Shak and SHK Management LLC (collectively Respondents) for violating the Commodity... Read more →

by   |   December 6, 2013

Whistleblowers Can Now File Complaints Online With OSHA

Employment, Litigation Whistleblowers covered by one of 22 statutes (including Sarbanes-Oxley and Dodd-Frank) administered by the U.S. Department of Labor’s Occupational Safety and Health... Read more →

by   |   December 5, 2013

PCAOB Reproposes Rule Requiring Engagement Partner to be Named in Audit Report

Broker-Dealer, Public Companies and Securities The Public Company Accounting Oversight Board has reproposed for public comment amendments to PCAOB auditing standards that would provide greater transparency into audits of... Read more →

by   |   December 4, 2013