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 Examinations of Newly Registered Private Fund Advisers Wind Down

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Investment Advisers, Private Equity In testimony before Congress, SEC Chair Mary Jo White noted that she anticipates SEC staff will conclude a two-year initiative to conduct focused, risk-based exams of newly registered private fund advisers in October 2014.  “Private fund advisers,” in general terms, is SEC lexicon for hedge fund and private equity advisors. Also, in SEC lexicon, the […] Read more →

by   |   September 11, 2014

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SEC Cops Bust 36 for Failure to File Ownership Reports

Investment Advisers, Litigation, Public Companies and Securities The SEC charged 29 officers, directors, or major shareholders for violating federal securities laws requiring them to promptly report information about their holdings and... Read more →

by   |   September 10, 2014

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Bank Regulators Propose Relaxed Margin Requirements for Corporate End Users of Uncleared Swaps

Banking, Derivatives Five federal agencies have taken a second stab at a  proposed rule to establish margin requirements for swap dealers, major swap participants, security-based swap dealers, and... Read more →

by   |   September 9, 2014

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CFTC Eliminates Barrier to Hedge Funds Using JOBS Act General Solicitation

Investment Advisers, Public Companies and Securities Many hedge funds have been reluctant to use general solicitation to offer securities because of the possibility it would be inconsistent from exemptions related to CPO (commodity... Read more →

by   |   September 9, 2014