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

ISS Launches 2017 ISS Benchmark Policy Comment Period

Quinlivan_Stephen_M4x5 2014 bio photo

Public Companies and Securities ISS announced the launch of its 2017 benchmark voting policy consultation period. The open comment period, which will solicit views from governance stakeholders globally on certain proposed voting policies for 2017, will run through 6:00 p.m. ET on November 10. Feedback Requested For U.S. issuers, ISS is requesting feedback from interested market constituents on new […] Read more →

by   |   October 27, 2016

SEC logo

New SEC Rules for Intrastate and Regional Securities Offerings

Crowdfunding, Public Companies and Securities The SEC has adopted final rules to modernize intrastate securities offerings under Rule 147, adopted new Rule 147A to broaden the availability of the existing safe harbor for... Read more →

by and   |   October 26, 2016

CFTC logo4

CFTC Extends Exemptions of RTO Energy Products to Bar Private Rights of Action

Derivatives, Energy The CFTC quelled a controversy that had emerged regarding its proposed exemption of certain specified energy products transacted in Regional Transmission Organizations (RTO) by... Read more →

by   |   October 24, 2016

accountant2

SEC Exams Looking for Whistleblower Violations

Broker-Dealer, Employment, Executive Compensation, Investment Advisers, Litigation SEC staff in the Office of Compliance Inspections and Examinations are examining compliance with key whistleblower provisions arising out of the Dodd-Frank Wall Street Reform and... Read more →

by   |   October 24, 2016