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

CFTC Issues Advisory Regarding Swap Reporting Requirements

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Derivatives, Energy The CFTC Division of Market Oversight has issued an advisory to remind market participants of the swap reporting requirements that are now, or soon to be, in effect. End users must be in compliance with the reporting rules (swap data reporting, real time reporting of swaps, and reporting of historical swaps) beginning April 10, 2013. […] Read more →

by   |   March 8, 2013

NYSE Bull 3

Nasdaq Proposes Listed Companies Have Internal Audit Function

Public Companies and Securities The SEC has published for comment Nasdaq’s rule proposal that Nasdaq listed companies have an internal audit function.  The rule proposal is as follows: “Each Company must... Read more →

by   |   March 5, 2013

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SEC Finding Some Hedge Funds and Private Equity Groups are Not Complying with Custody Rule

Investment Advisers, Private Equity The SEC has issued a Risk Alert on compliance with its custody rule for investment.  It notes that with respect to advisers to audited pooled investment vehicles, its... Read more →

by   |   March 4, 2013

Scale and Gavel

Reverse Triangular Mergers Do Not Trigger Anti-Assignment Clauses

Private Equity, Public Companies and Securities The Delaware chancery court recently restored some clarity to its jurisprudence regarding the effect of a reverse triangular merger (RTM) on contracts of the target company that... Read more →

by   |   March 3, 2013