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

FINRA Proposes Rules for Crowdfunding Portals

Broker-Dealer, Public Companies and Securities FINRA has proposed rules and related forms for crowdfunding portals. The proposal, which reflects the rules recently proposed by the SEC, would implement in FINRA’s rules the provisions of the JOBS Act.  FINRA believes it has streamlined the proposed rules to the extent possible to reflect the limited scope of activity permitted by funding portals […] Read more →

by   |   October 28, 2013

SEC Unveils Proposed Regulation Crowdfunding

Public Companies and Securities The SEC has proposed new Regulation Crowdfunding  to implement the requirements of Title III of the JOBS Act.  Regulation Crowdfunding would prescribe rules governing the offer... Read more →

by , and   |   October 28, 2013

Record CFTC Fines in 2013

Energy On October 24, 2013, the CFTC Enforcement Division announced its 2013 fiscal year results – 82 filed enforcement actions and record fines of $1.7 billion ($1.5 billion in civil... Read more →

by   |   October 28, 2013

Court Finds Dodd-Frank Does Not Apply to Foreign Whistleblowers

Employment, Litigation, Public Companies and Securities, Uncategorized The United States District Court for the Southern District of New York recently dismissed a case with prejudice by an employee whistleblower that lived in Taiwan.  The court... Read more →

by   |   October 27, 2013