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

Court Says There is no Private Cause of Action to Create an SEC Whistleblower Award


Employment, Litigation, Public Companies and Securities AgFeed Industries, Inc.’s accounting irregularities culminated in a March 2014 enforcement action brought against AgFeed by the SEC.  The enforcement action yielded an $18 million disgorgement penalty, referred to as the AgFeed Sanction. After AgFeed sought protection in the Bankruptcy Court, the AgFeed Sanction was disbursed through the company’s court-approved reorganization plan. Plaintiff... Read more →

by   |   September 29, 2015

SEC Provides Guidance on Venture Capital Fund Advisers Exemption

Investment Advisers Investment advisers to venture capital funds are exempt from registration under the Investment Advisors Act if certain requirements are met.  Amongst those requirements is that... Read more →

by   |   September 27, 2015

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New Volcker Rule FAQs: Market Making and CEO Certifications

Banking, Broker-Dealer Two new Volcker Rule FAQs have been issued. One FAQ addresses a bank’s market making activities.  Amongst other things, the FAQ affirms that for purposes of meeting the... Read more →

by   |   September 26, 2015


CFTC Moves Against Bitcoin Transactions

Derivatives, Litigation In the space of just seven days, the CFTC has brought two enforcement actions regarding Bitcoin transactions. Coinflip, Inc. In the first action, the CFTC issued an order filing... Read more →

by   |   September 25, 2015