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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

NAM Files Court Motion for Stay of Conflict Minerals Rules

Public Companies and Securities NAM et al have filed an emergency motion for stay with the Court of Appeals in the conflict minerals case.  As predicted, it is largely a replay of the arguments made when NAM asked the SEC for a stay.  In brief, the rule can no longer function without the “unconstitutional confession” which is now sometimes […] Read more →

by   |   May 5, 2014

SEC Reminds Investment Advisers to Review Compliance Policies Annually

Investment Advisers, Uncategorized Norm Champ, Director, SEC Division of Investment Management, recently gave a speech where he reminded investment advisers to review compliance policies annually as required by SEC... Read more →

by   |   May 4, 2014

NAM Likely Headed for Court After SEC Denies Full Stay of Conflict Minerals Rules

Public Companies and Securities The SEC has denied NAM’s motion for a full stay of the conflict minerals rules.  As I indicated, it was somewhat of a hail Mary, but maybe a precondition to asking the court... Read more →

by   |   May 2, 2014

NAM Throws a Hail Mary in Conflicts Minerals Case

Public Companies and Securities When Commissioners Daniel M. Gallagher and Michael S. Piwowar released this Joint Statement on the Conflict Minerals Decision on April 28, 2014, I wondered where it would go. The... Read more →

by   |   May 1, 2014