Stinson Leonard Street 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 Issues Policy on Bad Actor Waivers

bad actor

Litigation, Public Companies and Securities In an effort to quell internal (including outspoken SEC Commissioners) and external criticism, the SEC has published its policy on bad actor waivers. The policy looks fair on its face.  Application is another thing. Initially I think it will lead to lots of those uncomfortable conversations between client and counsel that say “on the one […] Read more →

by   |   March 14, 2015


SEC Charges 13D Filers With Failure to Disclose Going Private Plans

Litigation, M&A, Public Companies and Securities It’s well known that Federal securities laws require beneficial owners to promptly file an amendment when there is a material change in the facts previously reported by them on... Read more →

by   |   March 14, 2015


Is Crowdfunding Under the JOBS Act Dead?

Broker-Dealer, Consumer Protection In a recent article titled JOBS Act State of the Union (well worth a read in full), Samuel Guzik makes the case that the SEC has given up on creating rules to implement Title III... Read more →

by   |   March 13, 2015


Say-On-Pay Vote Did Not Create Disclosure Obligation

Employment, Executive Compensation, Litigation, Public Companies and Securities In Liang v. Berger, the plaintiff in a derivative action alleged the officers and directors of ARAID Pharmaceuticals failed to disclose material negative information about a drug... Read more →

by   |   March 10, 2015