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

CFTC to Make First Whistleblower Award for $240,000 — But Why?

Derivatives, Employment, Litigation The CFTC has a whistleblower award program that is separate from, but somewhat similar to, the SEC’s whistleblower award program. Both are mandated by the Dodd-Frank Act. The CFTC has announced that the agency will make its first award to a whistleblower as part of its whistleblower program. According to the CFTC, the person will […] Read more →

by   |   May 20, 2014

SEC Issues Additional FAQs on Engineering Exclusion from Municipal Advisor Rules

Municipal Advisors We have reviewed prior SEC guidance on the municipal advisor rules, from a view point of structuring a business to avoid a municipal advisory role, here and here.  The SEC has... Read more →

by   |   May 19, 2014

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Mary Jo White Explains Enforcement Action Decisions

Litigation Mary Jo White, Chair of the SEC, recently explained decisions in enforcement actions to a group of white collar crime lawyers. Ever wonder why some cases draw both criminal and... Read more →

by   |   May 19, 2014

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Unregistered Finder Settles with the SEC, Agrees to Pay Millions

Broker-Dealer, Consumer Protection, Energy, Private Equity, Public Companies and Securities The SEC recently settled an enforcement action against an individual alleged to have sold millions of dollars in securities on behalf of oil and gas companies without being... Read more →

by   |   May 16, 2014