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

SEC Adopts Final Whistleblower Rules

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Employment, Litigation, Public Companies and Securities The SEC has adopted final whistleblower rules under Section 922 of the Dodd-Frank Act.  A controversial issue with respect to the proposed rules  was the impact of the whistleblower program on companies’ internal compliance processes.   The final rules do not to include a requirement that whistleblowers report violations internally, but the SEC has made additional […] Read more →

by   |   May 25, 2011

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SEC Proposes Rule 506 Bad Actor Disqualifications

Broker-Dealer, Private Equity, Public Companies and Securities The SEC has proposed rules under Section 926 of the Dodd-Frank Act to disqualify offerings involving felons and other “bad actors” and associated persons  from relying on... Read more →

by   |   May 25, 2011

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MSRB Holds Meeting to Consider Dodd-Frank Related Rules

Municipal Advisors The Board of Directors of the Municipal Securities Rulemaking Board, or MSRB, held a special meeting on May 19-20, 2011 where it advanced major rule proposals governing fiduciary... Read more →

by   |   May 23, 2011

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SEC Proposes Rule to Require Ratings Agencies to File Reports Regarding Internal Controls

Public Companies and Securities, Uncategorized  The SEC has proposed new rules and amendments intended to increase transparency and improve the integrity of credit ratings.  The proposed rules would implement certain... Read more →

by   |   May 18, 2011