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 Rule 506 FAQs: 20% Beneficial Owners, 506(e) Disclosure

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Broker-Dealer, Private Equity, Public Companies and Securities As we’ve described previously, new Rule 506(d) imposes a number of bad actor disqualifications on certain persons that are associated with the issuer, including officers, directors, and 20% beneficial owners.  On January 3, 2014, the SEC released a new set of C&DIs relating to 20% beneficial owners.  Here is what we learned from this latest […] Read more →

by   |   January 4, 2014

New Year Brings Changes to End User Reporting Requirements for Trade Options and Swaps

Derivatives, Energy The first half of 2014 will bring changes to the end user reporting requirements for trade options and swaps—namely, (1) the commencement of the annual Form TO reporting... Read more →

by and   |   December 31, 2013

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Summary of Proposed Amendments to Regulation A

Broker-Dealer, Private Equity, Public Companies and Securities On December 18, 2013, the SEC published its proposal to modify Regulation A.   The SEC is proposing to expand Regulation A into two tiers:  Tier 1, for offerings of up to $5... Read more →

by , and   |   December 30, 2013

Government Watch Dogs Disagree On Analysis Associated with Dodd-Frank Rulemaking

Banking The Dodd-Frank Act requires or authorizes various federal agencies to issue hundreds of rules to implement reforms intended to strengthen the financial services industry. As... Read more →

by   |   December 15, 2013