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

Crowdfunding Coming to Minnesota

Minnesota

Public Companies and Securities A group has announced plans to introduce a bill that would permit the use of advertising and general solicitation in securities offerings to Minnesota residents.  The bill refers to such offerings as “MNvest Offerings” and you can see a copy of the draft bill here. ABOUT STINSON LEONARD STREET Stinson Leonard Street LLP provides sophisticated […] Read more →

by   |   January 2, 2015

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Fed Issues Volker Rule FAQs

Banking, Private Equity The Federal Reserve Board has issued FAQs on the Volker Rule set forth in Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.  The FAQs mirror other... Read more →

by   |   December 31, 2014

Yellow Penalty Flag

2014 CFTC Enforcement Report – Another Year of Record Sanctions

Broker-Dealer, Energy On November 6, 2014, the Commodity Futures Trading Commission (CFTC) released its 2014 fiscal year Enforcement Report.  In 2014, the CFTC continued its aggressive enforcement of... Read more →

by   |   December 30, 2014

SDNY Says Whistleblowers Must Report to the SEC

Employment, Public Companies and Securities, Uncategorized In Berman v. Neo@ogilvy LLC, the Unites States District Court for the Southern District of New York held an employee must report information to the SEC in order to qualify for the... Read more →

by   |   December 29, 2014