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

CFTC Pushes Dodd-Frank Boundaries With Manipulation Case

derivatives

Derivatives, Energy In the first case of its kind, the CFTC has accused Kraft Food Groups, Inc. and former parent Mondelez Global LLC with manipulation pursuant to Section 6(c)(1) of the Commodities Exchange Act and Regulation 180.1 promulgated thereunder.  Regulation 180.1 makes it unlawful to recklessly employ manipulative devices.  Most would have though enforcement would have been […] Read more →

by   |   April 4, 2015

whistleblower

SEC Finds Confidentiality Agreements Violates Whistleblower Rules

Employment, Litigation, Public Companies and Securities The SEC announced its first enforcement action against a company for using improperly restrictive language in confidentiality agreements with the potential to stifle the... Read more →

by   |   April 1, 2015

executive compensation

SEC Brings Enforcement Action Related to Perks

Employment, Executive Compensation, Litigation, Public Companies and Securities The SEC charged the former CEO of Silicon Valley-based technology firm Polycom Inc. with using nearly $200,000 in corporate funds for personal perks that were not disclosed to... Read more →

by   |   March 31, 2015

FollowtheRulesImage_LowerRes_iStock_000016212764

SEC Imposes $6 Million in Penalties for Straw Purchaser Arrangement

Broker-Dealer, Consumer Protection, Investment Advisers On March 26, 2015, the SEC settled charges against 22 parties relating to arrangements by which companies not registered as broker-dealers purchased securities on behalf of Global... Read more →

by   |   March 31, 2015