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 »

Dodd-Frank Blog

Corp Fin Issues Three New and Revised Interpretations of the Securities Act Rules


Public Companies and Securities On October 19th, the Division of Corporation Finance released three new and revised Compliance and Disclosure Interpretations (C&DIs) concerning the Securities Act. Revised C&DI 271.04 and new C&DI 271.21 relate to exempt offerings and sales of securities under Rule 701 of the Securities Act while revised C&DI 532.06 relates to the holding period for securities issued […] Read more →

by   |   October 20, 2016

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Bank Regulators Issue Notice of Proposed Rulemaking on Enhanced Cyber Risk Management Standards

Banking Three federal banking regulatory agencies have approved an advance notice of proposed rulemaking (ANPR) inviting comment on a set of potential enhanced cybersecurity... Read more →

by   |   October 19, 2016

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Bipartisan Members of Congress and NASAA Declare Support for SEC’s Proposed Modernization of Rules to Facilitate Intrastate Crowdfunding Offerings

Broker-Dealer, Crowdfunding On October 7, 2016, a bipartisan contingent of members of the U.S. House of Representatives and the president of the North American Securities Administrator Association (NASAA)... Read more →

by   |   October 19, 2016

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SEC Publishes FAQs on Pay Ratio Rule

Employment, Executive Compensation, Public Companies and Securities The SEC has published five FAQs on its pay ratio rule – see new questions 128C.01 to 128C.05. As we noted in our checklist of preliminary planning matters for the upcoming proxy... Read more →

by   |   October 18, 2016

The New York State Department of Financial Services Proposes Robust Cybersecurity Rules

Banking, Consumer Protection, Insurance, Uncategorized On September 13, 2016, the New York State Department of Financial Services (DFS) proposed new rules that would require certain “Covered Entities” to establish and implement... Read more →

by   |   October 17, 2016

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CFTC Extends Swap Dealer De Minimis Phase-In Period

Derivatives As has been rumored in recent weeks, the CFTC has adopted an order establishing December 31, 2018 as the swap dealer registration de minimis threshold phase-in termination date.... Read more →

by   |   October 13, 2016

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SEC Says Mobile Phone Game is an Illegal Security-Based Swap

Derivatives, Litigation I previously discussed an SEC Investor Alert which said fantasy stock trading for small amounts of money can violate provisions of securities laws implemented by the Dodd-Frank... Read more →

by   |   October 13, 2016

CFPB’s Structure Ruled Unconstitutional but it Avoids Being Dismantled

Banking, Broker-Dealer, CFPB, Consumer Protection, Litigation On October 11, 2016, the United States Court of Appeals for the D.C. Circuit issued its highly anticipated opinion in PHH Corp., et al. v. CFPB, holding that the Consumer... Read more →

by   |   October 11, 2016


SEC Brings Second Whistleblower Retaliation Case

Employment, Litigation, Public Companies and Securities The SEC has brought its second case for retaliation against a whistleblower against International Game Technology. According to the SEC, the whistleblower, a director of an IGT... Read more →

by   |   September 29, 2016