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

ISS Considering Changing Course on Independent Chair Shareholder Proposals

governance

Public Companies and Securities ISS is requesting feedback on a change to its voting policy on independent chair shareholder proposals.  ISS’ current policy is to generally recommend for independent chair shareholder proposals unless the company satisfies all of the following criteria: The company designates a lead director, who is elected by and from the independent board members with clearly […] Read more →

by   |   October 16, 2014

whistleblower

FINRA Reminds Anti-Whistleblower Provisions Are Not Permitted in Settlement Agreements

Broker-Dealer, Litigation FINRA has published a regulatory notice where it reminds firms that it is a violation of FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade) to include... Read more →

by   |   October 15, 2014

CFPB logo

CFPB Considering Issuing No-Action Letters

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... 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