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

Delaware Supreme Court Says Window Shopping Without Auction Enough in C&J-Nabors Case


Litigation, Public Companies and Securities In November, the Delaware Chancery Court agreed to temporarily bar C&J Energy Services Inc. investors from voting on a proposed merger between C&J and the hydraulic fracturing and well-sealing units of Nabors Industries Ltd.   The court directed C&J to seek out buyers during a 30-day freeze.  The record below was somewhat sketchy, but the court […] Read more →

by   |   December 19, 2014

Volker Rule Compliance for Private Equity and Hedge Funds Extended

Banking, Investment Advisers, Private Equity The Federal Reserve Board has acted under section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, commonly known as the Volcker Rule, to give banking... Read more →

by   |   December 19, 2014


3rd Circuit Holds Dodd-Frank Retaliation Claim Subject to Arbitration

Broker-Dealer, Employment, Litigation, Public Companies and Securities In Khazin v. TD Ameritrade the United States Court of Appeals for the Third Circuit held that securities-related retaliation claims brought under Dodd-Frank pursuant to 15 U.S.C.... Read more →

by   |   December 19, 2014

job creation just ahead

SEC Proposes JOBS Act Rules for Exchange Act Registration Requirements

Banking, Public Companies and Securities As mandated by the JOBS Act, the SEC has issued proposed amendments to revise the rules related to the thresholds for registration, termination of registration, and suspension of... Read more →

by   |   December 18, 2014

hedge fund

FSOC Seeks Comment About Risks Posed by Hedge Funds and Other Asset Managers

Investment Advisers, Private Equity The Financial Stability Oversight Council, or FSOC, voted on December 18, 2014 to release a notice seeking public comment regarding potential risks to U.S. financial stability... Read more →

by   |   December 18, 2014


Study Concludes ISS Data on Voting Against Hostile Takeovers is Flawed

Public Companies and Securities On October 22, 2014, ISS published a note on the financial consequences for shareholders to vote “NO” to a proposed hostile takeover (see article here).   ISS claimed to... Read more →

by   |   December 17, 2014

US Capitol Building

What Really Happened to the Swap Pushout Rule and Dodd-Frank Sleepers From Cromnibus

Banking, Derivatives The swap pushout rule was originally embodied in Section 716 of the Dodd-Frank Act.  Among other things, it prohibited “federal assistance” to any “swaps entity.” ... Read more →

by   |   December 17, 2014


NASAA Unveils Online Filing System for State Form D Filings

Broker-Dealer, Investment Advisers, Private Equity On December 15, 2014, the North American Securities Administrators Association, Inc. (NASAA) unveiled its Electronic Filing Depository (EFD) for use in connection with state Form... Read more →

by   |   December 17, 2014

SEC logo

SEC Distances Itself From Janus and Adopts Expansive View of Rule 10b-5(a) and (c)

Broker-Dealer, Investment Advisers, Litigation, Public Companies and Securities The SEC recently rendered an opinion in an enforcement action against two persons, John P. Flannery and James D. Hopkins, associated with an investment adviser.  In so doing, it... Read more →

by   |   December 16, 2014