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 Snares 10 for 8-K Violations

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Litigation, Public Companies and Securities The SEC settled actions with ten companies for alleged Form 8-K violations.  The investigation centered on failure to file Form 8-K when shares of common stock are sold in transactions that are not registered with the SEC under the federal securities laws and constitute at least five percent of the total stock held by their […] Read more →

by   |   November 6, 2014

CFPB logo

OIG Outlines Major CFPB Management Challenges

Banking, Consumer Protection The Office of Inspector General, or OIG, of the Board of Governors of the Federal Reserve System has issued its first listing of major management challenges facing the CFPB. These... Read more →

by   |   October 30, 2014

hedge fund

Providing Audited Financial Statements Late Leads to Charges of Custody Rule Violations

Litigation, Private Equity The SEC announced charges against an investment advisory firm and three of its top officials for violating the “custody rule” that requires firms to follow certain procedures... Read more →

by   |   October 29, 2014

US Capitol Building

Regulators Approve Securitization Risk Retention Rule

Banking, Public Companies and Securities Six federal agencies approved a final rule requiring sponsors of securitization transactions to retain risk in those transactions.  The final rule implements the risk retention... Read more →

by   |   October 22, 2014