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

PCAOB Adopts Standards for Broker-Dealer Audits

Broker-Dealer, Uncategorized The Public Company Accounting Oversight Board, or PCAOB, adopted two attestation standards pertaining to audits of brokers and dealers. The PCAOB also adopted an auditing standard applicable when auditors are engaged to perform audit procedures and report on supplemental information that broker-dealers and others file with the SEC. Finally, the Board adopted related amendments to […] Read more →

by   |   October 12, 2013

Hedge Funds Begin General Solicitation

Public Companies and Securities According to this article dated October 4, 2013, eight hedge funds had filed Form D’s indicating they were engaged in general solicitation. My unscientific review of 25 Form... Read more →

by   |   October 10, 2013

SEC Official Says a Significant Majority of Whistleblowers Reporting Internally First

Employment, Litigation, Public Companies and Securities Stephen L. Cohen, Associate Director of Enforcement at the SEC, recently gave remarks at a conference.  In his remarks, Mr. Cohen stressed the importance of effective compliance... Read more →

by   |   October 10, 2013

CFPB Takes Action Against Inaccurate Mortgage Loan Reporting

Banking, Consumer Protection The CFPB has ordered Mortgage Master, Inc. and Washington Federal to pay civil penalties for violating the Home Mortgage Disclosure Act, or HMDA, which requires certain mortgage... Read more →

by   |   October 9, 2013