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 Proposes Rules Regarding Broker-Dealer Reporting

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Broker-Dealer, Investment Advisers The SEC has proposed amendments to the broker-dealer financial reporting rule under the Securities Exchange Act of 1934.  The amendments would: update the existing requirements of Exchange Act Rule 17a-5, facilitate the ability of the Public Company Accounting Oversight Board to implement oversight of independent public accountants of broker-dealers as required by the Dodd-Frank Wall […] Read more →

by   |   June 16, 2011

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CFTC Proposes to Postpone the Effective Date of Numerous Swap Trading Provisions

Banking, Derivatives, Energy The CFTC has proposed an order providing exemptive relief from various swap trading provisions of the Dodd-Frank Act that would otherwise go into effect on July 16, 2011 because... Read more →

by   |   June 15, 2011

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Agencies Adopt a Final Rule to Establish a Risk-Based Capital Floor

Banking Three federal banking regulatory agencies adopted a final rule that establishes a floor for the risk-based capital requirements applicable to the largest, internationally active... Read more →

by   |   June 14, 2011

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Test Your Knowledge of the Whistleblower Rules – Part II

Employment, Public Companies and Securities, Uncategorized We received favorable feedback on our article “Test Your Knowledge of the Whistleblower Rules,” so we thought a continuation would be appropriate.  Some specific factual... Read more →

by   |   June 13, 2011