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

CFPB Considering Issuing No-Action Letters

CFPB logo

Banking, Consumer Protection The CFPB has issued a proposed policy where it would issue no-action letters in limited circumstances.  The proposed policy is designed for new financial products or services where there may be uncertainty about how they fit in the existing statutes and regulations. Under the proposed policy, the no-action letter would not be an available tool […] Read more →

by   |   October 13, 2014

Fallon.Robert.web

Spoofing Back in the News — First Criminal Indictment for Spoofing; CFTC Settlement Lays Out Telltale Signs of Spoofing

Broker-Dealer, Energy Last week the government handed down its first criminal indictment for allegedly engaging in “spoofing” and the Commodity Futures Trading Commission settled with Eric Moncada... Read more →

by   |   October 13, 2014

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Major Banks Agree to Temporarily Stay Swap Termination Under ISDA Protocol

Banking, Derivatives The International Swaps and Derivatives Association, Inc., or ISDA,  announced that 18 major global banks, referred to as G-18, have agreed to sign a new ISDA Resolution Stay... Read more →

by   |   October 12, 2014

broker-dealer

It’s Going to be Harder to Sell Unregistered Securities

Broker-Dealer, Public Companies and Securities The SEC has issued a Risk Alert and FAQs to remind broker-dealers of their obligations when they sell unregistered securities on behalf of clients.  This occurs when founders and... Read more →

by   |   October 9, 2014