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

CFTC Makes Second Whistleblower Award


Employment, Uncategorized The U.S. Commodity Futures Trading Commission, or CFTC, announced that it will make an award of approximately $290,000 to a whistleblower for providing valuable information about violations of the Commodity Exchange Act. This is the second whistleblower award to be issued by the CFTC. The CFTC issued its first whistleblower award of $240,000 on May […] Read more →

by   |   October 4, 2015

conflict minerals

Conflicts Minerals Quagmire to Continue as En Banc Rehearing Requested

Litigation, Public Companies and Securities Both the SEC, the loser in the most recent conflict minerals rehearing decision, and Amnesty International, an intervenor on the losing rehearing side, have asked for an en banc... Read more →

by   |   October 4, 2015

resource exctraction

SEC Tells Court It Will Implement Resource Extraction Rules in 270 Days

Litigation, Public Companies and Securities As previously noted, a Federal court held that the delay in implementing the resource extraction rules violated the Administrative Procedures Act.  The court ordered the SEC to... Read more →

by   |   October 2, 2015

social media

SEC Busts Overseas Social Media Fraud

Litigation, Public Companies and Securities A settled SEC enforcement action describes an alleged interesting social media fraud.  Two defendants that reside in India were alleged to have been behind the fraud. According... Read more →

by   |   September 30, 2015


Court Says There is no Private Cause of Action to Create an SEC Whistleblower Award

Employment, Litigation, Public Companies and Securities AgFeed Industries, Inc.’s accounting irregularities culminated in a March 2014 enforcement action brought against AgFeed by the SEC.  The enforcement action yielded an $18... Read more →

by   |   September 29, 2015

SEC Provides Guidance on Venture Capital Fund Advisers Exemption

Investment Advisers Investment advisers to venture capital funds are exempt from registration under the Investment Advisors Act if certain requirements are met.  Amongst those requirements is that... Read more →

by   |   September 27, 2015

Question mark

New Volcker Rule FAQs: Market Making and CEO Certifications

Banking, Broker-Dealer Two new Volcker Rule FAQs have been issued. One FAQ addresses a bank’s market making activities.  Amongst other things, the FAQ affirms that for purposes of meeting the... Read more →

by   |   September 26, 2015


CFTC Moves Against Bitcoin Transactions

Derivatives, Litigation In the space of just seven days, the CFTC has brought two enforcement actions regarding Bitcoin transactions. Coinflip, Inc. In the first action, the CFTC issued an order filing... Read more →

by   |   September 25, 2015


Study Says SEC Inflates Enforcement Statistics

Litigation, Public Companies and Securities A recent study by Urska Velikonja, Emory University School of Law; University of Chicago – Law School, analyzes the enforcement statistics the SEC publishes.  The abstract... Read more →

by   |   September 24, 2015