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

2nd Circuit Upholds SEC’s Denial of Whistleblower Award

whistleblower

Employment, Litigation, Public Companies and Securities Larry Stryker petitioned the Second Circuit for review of an order of the SEC that denied his claim for a whistleblower award. He sought the award under Section 21F of the Dodd-Frank Act  based on information he supplied to the SEC that it relied upon in a successful enforcement action. The SEC held that, because […] Read more →

by   |   March 15, 2015

bad actor

SEC Issues Policy on Bad Actor Waivers

Litigation, Public Companies and Securities In an effort to quell internal (including outspoken SEC Commissioners) and external criticism, the SEC has published its policy on bad actor waivers. The policy looks fair on its... Read more →

by   |   March 14, 2015

enforcement

SEC Charges 13D Filers With Failure to Disclose Going Private Plans

Litigation, M&A, Public Companies and Securities It’s well known that Federal securities laws require beneficial owners to promptly file an amendment when there is a material change in the facts previously reported by them on... Read more →

by   |   March 14, 2015

crowdfunding

Is Crowdfunding Under the JOBS Act Dead?

Broker-Dealer, Consumer Protection In a recent article titled JOBS Act State of the Union (well worth a read in full), Samuel Guzik makes the case that the SEC has given up on creating rules to implement Title III... Read more →

by   |   March 13, 2015