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

New C&DIs on Regulation Crowdfunding

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Crowdfunding On Friday the SEC released a new set of Compliance and Disclosure Interpretations on Regulation Crowdfunding ahead of the effective date of Regulation Crowdfunding on May 16.  The C&DIs address issuer communications with the public, application of the investment limitations, and balance sheet and financial information disclosures for recently formed issuers. Here are the concepts […] Read more →

by   |   May 15, 2016

CFPB Proposes Controversial Rule to Limit Use of Arbitration Agreements

Banking, Broker-Dealer, CFPB, Consumer Protection, Litigation On May 5, 2016, the Consumer Financial Protection Bureau (CFPB) announced a long-awaited and highly-controversial proposed rule that, if adopted, would prohibit certain financial... Read more →

by   |   May 12, 2016

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SEC Approves PCAOB Rule Requiring Audit Partners to be Identified

Public Companies and Securities The SEC has approved a proposed PCAOB rule requiring identification of audit engagement partners and certain other audit participants. Under the PCAOB rules, for each audit report... Read more →

by   |   May 9, 2016

Scale and Gavel

SEC Opinion Examines Reasonable Belief and Accredited Investor Status

Blockchain Technology, Litigation, Public Companies and Securities The SEC opinion In the Matter of Joseph P. Doxey examines compliance with Rule 506 in an alleged unlawful offering of stock totaling $57,654. The administrative law judge on... Read more →

by   |   May 8, 2016