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

Final SEC Rule Disqualifying Bad Actors From Rule 506 Offerings

Banking, Broker-Dealer, Investment Advisers, Private Equity, Public Companies and Securities The SEC has adopted final rules to implement Section 926 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Section 926 required the SEC to adopt rules that disqualify securities offerings involving certain “felons and other ‘bad actors’” from reliance on Rule 506 of Regulation D. Covered Persons The disqualification provisions of Rule 506(d) […] Read more →

by   |   July 12, 2013

General Solicitation Under the Final JOBS Act Rules

Investment Advisers, Private Equity, Public Companies and Securities The SEC has adopted final rules eliminating the ban on general solicitation and advertising in Rule 506 offerings.  The changes are mostly embodied in new Rule 506(c). Definition... Read more →

by   |   July 11, 2013

FSOC Designates AIG and GECC as Nonbank Financial Companies

Banking FSOC has designated the following as nonbank financial companies: American International Group, Inc General Electric Capital Corporation, Inc Under Section 113 of the Dodd-Frank... Read more →

by   |   July 9, 2013

SEC Denies Another Whistleblower Claim

Employment, Public Companies and Securities The SEC has denied granting an award to another whistleblower in the second action of this year.  The SEC determined that the whistleblower did not provide any “original... Read more →

by   |   July 4, 2013