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

Final Red Flags Rules Adopted by SEC and CFTC

Red Flags Rules

Broker-Dealer, Consumer Protection, Derivatives, Energy, Investment Advisers, Private Equity Today the CFTC and the SEC jointly issued final rules that require regulated entities to adopt programs designed to prevent identity theft – so-called “red flags” rules. Since 2003, the Fair Credit Reporting Act has authorized federal agencies responsible for banking regulations to implement programs to prevent identity theft and the FTC has been authorized […] Read more →

by   |   April 10, 2013

Endrud.Nate.web

CFTC Extends Compliance Dates for End User Swap Reporting

Derivatives, Energy The CFTC has issued a no-action letter that effectively extends the dates for swap counterparties who are not swap dealers (SDs) or major swap participants (MSPs) to come into... Read more →

by   |   April 9, 2013

JOBS-Act-Before-After

The JOBS Act Turns One

Broker-Dealer, Investment Advisers, Private Equity, Public Companies and Securities April 5, 2013 marked the one-year anniversary of the passage of the JOBS Act.  Here’s a roundup of a few of the media outlets that took the occasion as an opportunity to... Read more →

by   |   April 8, 2013

Dodd-Frank Corporate Governance

Court Dismisses Another Say-on-Pay Disclosure Case

Executive Compensation, Public Companies and Securities, Uncategorized The District Court for the Northeastern District of Illinois recently granted a Rule 12(b)(6) motion to dismiss an action styled Noble v. AAR Corp.  The plaintiff alleged that... Read more →

by   |   April 8, 2013