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

GAO Says Commerce Department Has Not Complied With Conflict Minerals Obligations

GAO Logo

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 necessary conflict minerals in their products.  However, the report notes the Department of Commerce has not yet compiled a list of all conflict minerals processing […] Read more →

by   |   July 3, 2014

advertising

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   |   June 28, 2014

whistleblower

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   |   June 24, 2014

broker-dealer

SEC Orders Exchanges and FINRA to Submit Tick Size Pilot Program

Broker-Dealer, Public Companies and Securities The SEC has ordered registered securities exchanges and FINRA to submit a tick size pilot program within 60 days.  The order specifies that the control group will be quoted at... Read more →

by   |   June 24, 2014