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

OCC Issues Volcker Rule Interim Examination Procedures

accountant2

Banking The OCC has issued interim examination procedures for Volker Rule compliance.  The purpose of the interim examination procedures is to help examiners determine whether banks have business activities or investments that are subject to the regulations and, if so, to guide examiners in assessing plans that banks have developed and are implementing to comply with […] Read more →

by   |   June 16, 2014

whistleblower

Don’t Ask a Whistleblower to Investigate the Conduct Reported to the SEC

Litigation The SEC recently charged a hedge fund advisory firm, which we refer to as the employer, for the first time using its new authority to bring anti-retaliation enforcement actions. ... Read more →

by   |   June 16, 2014

private equity

A Developing Trend: Heightened Scrutiny of Private Equity Fund Advisers

Broker-Dealer, Investment Advisers, Private Equity The Securities and Exchange Commission has recently increased its efforts in examining private equity fund advisers and the fees and expenses such advisers charge to portfolio... Read more →

by and   |   June 16, 2014

2014 New Year

SEC Commissioner Wants Dodd-Frank Wrapped Up

Banking SEC Commissioner Kara M. Stein recently gave remarks on the status of required Dodd-Frank rulemakings.  The pay ratio, claw back, conflict minerals and resources extraction rules... Read more →

by   |   June 14, 2014