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

Loan Syndicators Sue to Invalidate Risk Retention Rules

Scale and Gavel

Banking, Litigation The Loan Syndications and Trading Association, or LSTA, is a not-for-profit trade association representing members participating in the syndicated corporate loan market.   The LSTA has petitioned the United States Court of Appeals for the District of Columbia for review of the SEC and the Fed’s rules relating to credit risk retention and Section 941 of […] Read more →

by   |   November 26, 2014

CFTC logo4

CFTC Gives Treasury Affiliates More Relief From Clearing Requirements

Derivatives The CFTC issued a no-action letter providing further relief for eligible treasury affiliates that enter into swaps that are subject to the clearing requirement in section 2(h)(1)... Read more →

by   |   November 26, 2014

CFTC logo4

CFTC Grants Family Offices Relief From Registration as Commodity Trading Advisors

Investment Advisers The CFTC previously granted family offices no-action relief from registration as commodity pool operators.  That letter did not provide an exemption from registration as a... Read more →

by   |   November 25, 2014

Endrud.Nate.web

CFTC Proposes Important Clarification on Forward Contracts with Embedded Volumetric Optionality

Derivatives, Energy The CFTC has published an important proposed clarification to its seven element test regarding forward contracts with embedded volumetric optionality (EVO). The proposed... Read more →

by   |   November 22, 2014

NASDAQ Proposes to Stop Automatic Delisting for Failure to Hold Annual Meeting

Public Companies and Securities Under Current NASDAQ Rule 5810(c)(1), NASDAQ staff is required to issue a delisting determination, subjecting the company to immediate suspension and delisting, if a company fails... Read more →

by   |   November 21, 2014

CFPB logo

CFPB Takes Action Against ‘Buy-Here, Pay-Here’ Auto Dealer

Banking, Consumer Protection, Litigation The CFPB took its first action against a “buy-here, pay-here” car dealer.   The CFPB alleged that the dealer, DriveTime, harmed consumers by making harassing debt collection... Read more →

by   |   November 20, 2014

Question mark

Do I Need to Update My D&O Questionnaire for 2015?

Public Companies and Securities One of the most frequent questions we get this time of year is issuers asking whether there are any needed updates to director and officer questionnaires.  Necessary... Read more →

by   |   November 19, 2014

whistleblower

SEC Describes Profiles of Successful Whistleblowers

Employment, Litigation, Public Companies and Securities, Uncategorized In its 2014 Report to Congress on the Dodd-Frank Whistleblower Program, the SEC described the profile of successful whistleblowers. Because the SEC must keep the identity of... Read more →

by   |   November 18, 2014

conflict minerals

Panel to Rehear Conflict Minerals Case

Public Companies and Securities The United States Court of Appeals for the District of Columbia has granted the petition for a panel rehearing (as opposed to an en banc rehearing) in the conflict minerals... Read more →

by   |   November 18, 2014