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 Orders Exchanges and FINRA to Submit Tick Size Pilot Program

broker-dealer

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 the current tick size increment, $0.01 per share, and trade at the increments currently permitted.   The first test group would be quoted in $0.05 minimum […] Read more →

by   |   June 24, 2014

hedge fund

Integrated Private Equity Firms Charged With Failure to Register and Pay-to-Play Violations

Investment Advisers, Litigation, Private Equity The SEC charged two firms with failing to register as investment advisers because their operations were integrated (SEC orders are here and here) and charged one of the entities... Read more →

by   |   June 20, 2014

Fed to Bank Directors: Pay Attention

Banking Daniel K. Tarullo of the Board Of Governors of the Federal Reserve System delivered a speech on the intersection of corporate governance and prudential regulation.  Some of the... Read more →

by   |   June 19, 2014

whistleblower

Dodd-Frank Whistleblower Protections Do Not Apply to Banking Laws

Banking, Employment, Litigation, Uncategorized The United States District Court for the Eastern District of Wisconsin refused to allow a plaintiff to amend his complaint where the plaintiff claimed he was terminated because he... Read more →

by   |   June 17, 2014