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 »

Dodd-Frank Blog

NAM Says No Need for En Banc Rehearing in Conflict Minerals Case

conflict minerals

Public Companies and Securities Earlier, the United States Court of Appeals for the District of Columbia Circuit ordered the appellants in the conflict minerals case, NAM et al, to file a response to the SEC’s and Amnesty International’s petition for an en banc rehearing. The response has now been filed.  NAM says there is no need for a rehearing.  […] Read more →

by   |   September 13, 2014

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SEC Examinations of Newly Registered Private Fund Advisers Wind Down

Investment Advisers, Private Equity In testimony before Congress, SEC Chair Mary Jo White noted that she anticipates SEC staff will conclude a two-year initiative to conduct focused, risk-based exams of newly... Read more →

by   |   September 11, 2014

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SEC Cops Bust 36 for Failure to File Ownership Reports

Investment Advisers, Litigation, Public Companies and Securities The SEC charged 29 officers, directors, or major shareholders for violating federal securities laws requiring them to promptly report information about their holdings and... Read more →

by   |   September 10, 2014

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Bank Regulators Propose Relaxed Margin Requirements for Corporate End Users of Uncleared Swaps

Banking, Derivatives Five federal agencies have taken a second stab at a  proposed rule to establish margin requirements for swap dealers, major swap participants, security-based swap dealers, and... Read more →

by   |   September 9, 2014

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CFTC Eliminates Barrier to Hedge Funds Using JOBS Act General Solicitation

Investment Advisers, Public Companies and Securities Many hedge funds have been reluctant to use general solicitation to offer securities because of the possibility it would be inconsistent from exemptions related to CPO (commodity... Read more →

by   |   September 9, 2014

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SEC Proposes Communications Exemption for Certain Security Based Swaps

Broker-Dealer, Derivatives The Dodd-Frank Act amended the Securities Act of 1933 and the Securities Exchange Act of 1934  to include “security-based swaps” in the definition of “security” for... Read more →

by   |   September 8, 2014

conflict minerals

Good News and Bad News: Commerce Department Publishes List of Conflict Minerals Processing Facilities

Public Companies and Securities The good news is the Commerce Department published a list of ”all known conflict mineral processing facilities worldwide” as required by section 1502(d)(3)(C) of the... Read more →

by   |   September 7, 2014

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Whistleblowers Fight Over SEC Award

Employment, Litigation, Public Companies and Securities, Uncategorized It was predictable someone would submit a phony whistleblower claim, and I suppose it was predictable there would be a fight over an actual award, like co-workers diving for a... Read more →

by   |   September 4, 2014

hedge fund

SEC Denies Confidentiality Request for Form 13F

Investment Advisers The SEC has denied an institution manager a confidential treatment request related to Form 13F because the request had only conclusory allegations. According to the SEC: The... Read more →

by   |   September 4, 2014