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 Commissioner Wonders Whether Harvard Violated Securities Laws

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Public Companies and Securities SEC Commissioner Daniel M. Gallagher and Joseph A. Grundfest, Stanford Law School, Rock Center for Corporate Governance, have just published a paper titled “Did Harvard Violate Federal Securities Law? The Campaign Against Classified Boards of Directors.” According to the paper, the Harvard Shareholder Rights Project, or the Harvard SRP, has played a central role in […] Read more →

by   |   December 11, 2014

msrb

SEC Makes Municipal Advisor Compliance Transcript Available

Municipal Advisors On November 3, 2014, the SEC, MSRB and FINRA held a compliance outreach program for municipal advisors. The SEC has made an unofficial transcript of the event available here.... Read more →

by   |   December 9, 2014

accountant2

SEC and PCAOB Collar 15 For Independence Violations in Audits of Broker-Dealers

Broker-Dealer, Litigation The SEC and PCAOB collectively charged 15 audit firms for violating independence requirements in connection with audits of broker dealers.  Under SEC independence rules, which... Read more →

by   |   December 8, 2014

conflict minerals

SEC Files Brief in Conflict Minerals Rehearing

Public Companies and Securities The SEC has filed its brief in the conflict minerals rehearing.  Amnesty International also filed its brief as intervenor and Free Speech for People filed an amicus brief. To... Read more →

by   |   December 8, 2014