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

PCAOB, GAAS and Broker-Dealers

Banking, Public Companies and Securities The SEC has issued interpretive guidance regarding the meaning of the term “generally accepted auditing standards” (“GAAS”) after adoption of the Dodd-Frank Act.  Section 982 of the Dodd-Frank Act amended the Sarbanes-Oxley Act of 2002  to authorize the Public Company Accounting Oversight Board (“PCAOB”), among other things, to establish, subject to approval by the SEC, […] Read more →

by   |   September 24, 2010

Stacks of Coins

Financial Stability Oversight Council will Hold First Meeting on October 1

Banking Treasury Secretary Tim Geithner, in his capacity as chairperson of the Financial Stability Oversight Council, announced that the Council will hold its first meeting on October 1,... Read more →

by   |   September 23, 2010

US Capitol Building

Consumer Financial Protection Bureau Gets Underway

Uncategorized Pursuant to the Consumer Financial Protection Act of 2010 (“CFP Act”), which is part of the Dodd-Frank Act, the Secretary of the Treasury has designated July 21, 2011, as the... Read more →

by   |   September 23, 2010

CFTC to Hold Open Meeting October 1 on First Proposed Rules

Banking, Derivatives, Energy, Insurance, Uncategorized The CFTC has announced that it will hold an open meeting on Friday, October 1, 2010 to consider issuance of the following first proposed rules under the Dodd-Frank Act: • the... Read more →

by   |   September 23, 2010

US Capitol Building

Schapiro on Security-Based Swaps

Banking, Public Companies and Securities SEC Chair Mary Schapiro gave her thoughts on some of the implications of the Dodd-Frank Act for security based swaps in remarks given to the Security Traders Association.  Ms.... Read more →

by   |   September 23, 2010

Chairman Sheds Light on CFTC Rulemakings in Remarks to Chamber of Commerce

Banking, Derivatives, Energy, Insurance In remarks before the U.S. Chamber of Commerce yesterday, CFTC Chairman Gary Gensler discussed several aspects of the Commission’s implementation of the Dodd-Frank Act.... Read more →

by   |   September 22, 2010

SEC logo

Panel Predicts Limited Use of the New Shareholder Proxy Access Rules

Public Companies and Securities Back on September 10, 2010, we summarized new Exchange Act Rule 14a-11 relating to shareholder proxy access.  Last week, in a panel discussion organized by the Practising Law... Read more →

by   |   September 20, 2010

SEC logo

SEC Rulemaking Schedule Addresses Derivatives Trading

Banking, Derivatives, Energy, Insurance, Uncategorized The SEC’s recently released rulemaking schedule for implementation of the Dodd-Frank Act includes a schedule for implementing the derivatives trading provisions of the Act.... Read more →

by   |   September 19, 2010

US Capitol Building

More 14a-11 Examples

Public Companies and Securities Filings by public companies continue to include references to Rule 14a-11, which permits shareholders to nominate a director and include the nomination in the registrant’s proxy... Read more →

by   |   September 19, 2010