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

NASAA Unveils Online Filing System for State Form D Filings


Broker-Dealer, Investment Advisers, Private Equity On December 15, 2014, the North American Securities Administrators Association, Inc. (NASAA) unveiled its Electronic Filing Depository (EFD) for use in connection with state Form D filings in Rule 506 offerings.  The NASAA has been pursuing initiatives to streamline the state blue sky filing process for some time. In July of 2014, we reported on […] Read more →

by   |   December 17, 2014

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SEC Distances Itself From Janus and Adopts Expansive View of Rule 10b-5(a) and (c)

Broker-Dealer, Investment Advisers, Litigation, Public Companies and Securities The SEC recently rendered an opinion in an enforcement action against two persons, John P. Flannery and James D. Hopkins, associated with an investment adviser.  In so doing, it... Read more →

by   |   December 16, 2014


Streamlined Regulation for Insurance Companies

Insurance The Insurance Capital Standards Clarification Act of 2014 has been presented to President Obama for signature.  The bill will: Add language to Section 171 of Dodd-Frank to... Read more →

by   |   December 15, 2014

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More Small Bank Holding Companies to be Eligible for Regulatory Relief

Banking A bill has been presented to President Obama for signature that will make more small bank holding companies eligible for regulatory relief.  The bill directs the Federal Reserve... Read more →

by   |   December 15, 2014