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 C&DIs on Verification of Accredited Investor Status

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Broker-Dealer, Investment Advisers, Private Equity, Public Companies and Securities On July 3, 2014, the SEC released six new Compliance and Disclosure Interpretations relating to verification of prospective investors as accredited investors for purposes of Rule 506(b) and Rule 506(c).   Two of these C&DIs are straightforward clarifications; the remaining four relate to two of the safe harbors established by the SEC for purposes of determining […] Read more →

by David Jenson   |   July 5, 2014

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GAO Says Commerce Department Has Not Complied With Conflict Minerals Obligations

Public Companies and Securities The Government Accountability Office, or GAO, has issued a report noting the SEC  issued a rule in 2012 requiring certain companies to disclose the source and chain of custody of... Read more →

by Steve Quinlivan   |   July 3, 2014

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Verifying Accredited Investors in Public Rule 506 Offerings: SIFMA Guidance

Broker-Dealer, Investment Advisers, Private Equity, Public Companies and Securities On June 23, 2014, the Securities Industry and Financial Markets Association (SIFMA) published a memo outlining several specific methods for verifying accredited investor status... Read more →

by David Jenson   |   June 28, 2014

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SEC: Don’t Ignore the Habitually Wrong Whistleblower

Broker-Dealer, Employment, Investment Advisers, Litigation, Municipal Advisors, Private Equity, Public Companies and Securities SEC Chair Mary Jo White recently gave a speech on a number of important matters, including the role of directors as gatekeepers, her views of self-reporting of violations and the... Read more →

by Steve Quinlivan   |   June 24, 2014