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

SEC Charges Private Equity Sponsor for Failure to Disclose Conflicted Transactions


Investment Advisers, Litigation, Private Equity The SEC announced that New York-based private equity firm Fenway Partners LLC and four executives have agreed to settle charges that they failed to disclose conflicts of interest to a fund client and investors when fund and portfolio company assets were used for payments to former firm employees and an affiliated entity. According to the […] Read more →

by   |   November 5, 2015


SEC Says there are (Almost) No Excuses for Late Whistleblowers

Broker-Dealer, Employment, Investment Advisers, Litigation, Public Companies and Securities The SEC announced a whistleblower award totaling more than $325,000 for a former investment firm employee who tipped the agency with specific information that enabled enforcement... Read more →

by   |   November 4, 2015


SEC Discusses Criteria for Charging Chief Compliance Officers

Broker-Dealer, Investment Advisers In remarks before the 2015 National Society of Compliance Professionals, National Conference, Andrew Ceresney, Director, SEC Division of Enforcement, outlined the type of criteria... Read more →

by   |   November 4, 2015


SEC Proposes to Increase Rule 504 Offering Limits to Create Another Crowdfunding Exemption

Crowdfunding The SEC has issued a rule proposal that would increase the aggregate amount of securities that may be offered and sold in any twelve-month period pursuant to Rule 504 from $1... Read more →

by   |   November 1, 2015