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 Proposes Rules to Mitigate Conflicts of Interest Involving Security-Based Swaps

Stacks of Coins

Broker-Dealer, Derivatives The SEC has proposed rules intended to mitigate conflicts of interest for security-based swap clearing agencies, security-based swap execution facilities, and national securities exchanges that post security-based swaps or make them available for trading.  Section 765 of the Dodd-Frank Act lays out requirements designed to mitigate conflicts of interests at clearing agencies that clear security-based... Read more →

by   |   October 13, 2010

US Capitol Building

SEC Adopts Interim Rule on Reporting and Record Retention for Pre-Enactment Security-Based Swaps

Broker-Dealer, Derivatives Section 766 of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act  requires the SEC to adopt an interim final rule for the reporting of security-based... Read more →

by   |   October 13, 2010

SEC logo

SEC Proposed Rules on Issuer Review of Assets in Offerings of Asset-Backed Securities

Public Companies and Securities The SEC has proposed new requirements in order to implement Section 945 and a portion of Section 932 of the Dodd-Frank Act (Release No. 33-9150).   First, the SEC has proposed a... Read more →

by   |   October 13, 2010

Examples of Proxy Statements After SEC Stay of Rule 14a-11

Public Companies and Securities  The SEC has stayed the application of proxy access rules set forth in Rule 14a-11.  The question remains whether issuers should make any Rule 14a-11 disclosures in their proxy... Read more →

by   |   October 13, 2010