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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

MD&A Rules Do Not Create Rule 10b-5 Disclosure Obligation

Scale and Gavel

Litigation, Public Companies and Securities The Ninth Circuit recently examined whether Item 303 of Regulation of S-K, which sets forth the MD&A rules, creates an affirmative duty of disclosure on which to pin a Rule 10b-5 case.  The case centered around a significant stock price drop after the issuer disclosed it would incur a $150 million to $200 million charge […] Read more →

by   |   October 6, 2014

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CFTC Finalizes Rule to Exclude Swaps with Municipal Utilities From $25 Million De Minimis Swap Dealer Threshold

Derivatives, Energy The CFTC has published its final rule to exclude most swaps used for hedging purposes by municipal and other governmental utilities from counting against the $25 million swap... Read more →

by   |   October 6, 2014

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Hedge Fund and its Partner and Lawyer Fail on Motion to Dismiss for Breach of Fiduciary Duty

Litigation A case against a hedge fund, and one of its partners and in-house counsel, related to actions at a portfolio company and alleging breach of fiduciary duties survived a motion to... Read more →

by   |   October 5, 2014

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SEC Says Use IP Addresses to Control Intrastate Offerings

Public Companies and Securities In a new CDI, the SEC indicates it may be possible to use IP addresses to control internet communications so that offers are made only in one state and qualify for the intrastate... Read more →

by   |   October 2, 2014