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 Makes Municipal Advisor Compliance Transcript Available

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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. ABOUT STINSON LEONARD STREET Stinson Leonard Street LLP provides sophisticated transactional and litigation legal services to clients ranging from individuals and privately held enterprises to national […] Read more →

by   |   December 9, 2014

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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

NASAA

First Issuer Completes NASAA Coordinated Review Program

Public Companies and Securities There has been somewhat of a controversy surrounding the SEC’s rulemaking in connection with Regulation A+ under the JOBS Act.  Should larger Tier 2 offerings preempt state... Read more →

by   |   December 6, 2014