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 Approves Appeal of Position Limit Decision

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Derivatives, Energy The CFTC approved an appeal of the September 28, 2012 federal district court decision that vacated the agency’s position limits rule based on a finding that the agency had neglected to first find that the limits were necessary to “diminish, eliminate, or prevent” the burden of undue speculation on interstate commerce. The agency filed a […] Read more →

by   |   November 16, 2012

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SEC Files Record Number of Enforcement Actions Against Investment Advisers

Investment Advisers, Litigation The SEC filed 147 enforcement actions in 2012 against investment advisers and investment companies, one more than the previous year’s record number.  The actions resulted from... Read more →

by   |   November 16, 2012

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Resource Extraction Issuers: Small Entity Compliance Guide

Energy, Public Companies and Securities The SEC has released a Small Entity Compliance Guide relating to the recently adopted rules relating to new disclosures required of “resource extraction issuers.”  Compliance... Read more →

by   |   November 15, 2012

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SEC Receives More Than 3,000 Whistleblower Tips in FY2012

Employment, Litigation, Public Companies and Securities Over the past year, the Securities and Exchange Commission received more than 3,000 whistleblower tips from all 50 states and from 49 countries, according to the agency’s... Read more →

by   |   November 15, 2012