Stinson Leonard Street 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

Recent SEC Enforcement Actions Prompt Consideration of Whistleblower Carve-outs


Employment, Litigation, Public Companies and Securities The recent settlement of SEC enforcement actions concerning the Dodd Frank Act’s whistleblower provisions are prompting companies and their counsels to evaluate current and prospective severance and confidentiality agreements for language that could be viewed as restricting an individual’s ability to communicate with the SEC about possible securities law violations and/or receive monetary... Read more →

by   |   August 30, 2016

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SEC Awards Culpable Whistleblower $22 Million

Employment, Public Companies and Securities The SEC announced the award of more than $22 million to a whistleblower whose detailed tip and extensive assistance helped the agency halt a well-hidden fraud at the company where... Read more →

by   |   August 30, 2016


SEC Requests Comment on Corporate Governance, Management and Security Holder Matters

Public Companies and Securities The SEC is requesting public comment on certain disclosure requirements in Regulation S-K relating to management, certain security holders, and corporate governance matters... Read more →

by   |   August 27, 2016

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GAO Says Companies Face Continuing Challenges in Determining Whether Their Conflict Minerals Benefit Armed Groups

Public Companies and Securities GAO noted in a recent report that as a result of country-of-origin inquiries, an estimated 19 percent more companies that filed Form SD with the SEC reported that they knew or had... Read more →

by   |   August 27, 2016