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

SEC Official Describes Enforcement Priorities for Hedge Funds


Investment Advisers, Private Equity, Uncategorized Bruce Karpati, Chief, SEC Enforcement Division’s Asset Management Unit, recently described enforcement priorities with respect to hedge funds.  He noted the Asset Management Unit, comprised of 75 staff across 11 offices, focuses its investigations on investment advisers, investment companies, hedge funds, mutual funds and private equity funds. Mr. Karpati believes understanding the varying business... Read more →

by   |   December 26, 2012

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SEC Releases Study on Credit Ratings

Public Companies and Securities The SEC has released the study on credit ratings required by Section 939F of the Dodd-Frank Act.  Section 939F provides that, after submission of the report to Congress... Read more →

by   |   December 23, 2012

Dodd-Frank Corporate Governance

Nasdaq Amends Compensation Committee Proposal

Employment, Executive Compensation, Public Companies and Securities Nasdaq recently amended its rule proposal related to compensation committees required by the Dodd-Frank Act.  While the substance of the proposal did not change too much, the... Read more →

by   |   December 23, 2012

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SEC Approves New Rules Regarding Lost Holders of Securities

Broker-Dealer The SEC has approved new rules requiring broker-dealers to conduct searches for holders of securities with whom they have lost contact.  A similar rule already applied to... Read more →

by   |   December 23, 2012