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

SEC Proposed Rules on Issuer Review of Assets in Offerings of Asset-Backed Securities

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Public Companies and Securities The SEC has proposed new requirements in order to implement Section 945 and a portion of Section 932 of the Dodd-Frank Act (Release No. 33-9150).   First, the SEC has proposed a new rule under the Securities Act of 1933 to require any issuer registering the offer and sale of an asset-backed security (ABS), to perform […] Read more →

by   |   October 13, 2010

Examples of Proxy Statements After SEC Stay of Rule 14a-11

Public Companies and Securities  The SEC has stayed the application of proxy access rules set forth in Rule 14a-11.  The question remains whether issuers should make any Rule 14a-11 disclosures in their proxy... Read more →

by   |   October 13, 2010

FDIC Announces Director of New Division of Depositor and Consumer Protection

Banking The FDIC announced the appointment of Mark Pearce as director of the newly-established Division of Depositor and Consumer Protection, or DCP. The FDIC Board of Directors approved... Read more →

by   |   October 12, 2010

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SEC Proposes Rules on Family Offices

Public Companies and Securities The SEC has proposed a rule pursuant to Section 409 of the Dodd-Frank Act to define “family offices” that would be excluded from the definition of an investment adviser under... Read more →

by   |   October 12, 2010

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FDIC Board Issues Proposed Rule on Dodd-Frank Resolution Authority

Banking Read more →

by   |   October 12, 2010

Stacks of Coins

First Meeting of Financial Stability Oversight Council

Banking, Insurance, Private Equity The Financial Stability Oversight Council (sometimes referred to as FSOC) convened its first “Official” meeting on October 1, 2010.  There’s no lack of political... Read more →

by and   |   October 12, 2010

Dodd-Frank and SOX Whistleblower Protections

Public Companies and Securities The cooperation of corporate whistleblowers may be a crucial element of a transparent and fully accountable market place.  However,  many employees with knowledge of violations... Read more →

by   |   October 11, 2010

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Dealing With Rating Agencies After Regulation FD Change

Public Companies and Securities As noted, the SEC has removed the rating agency exemption from Regulation FD as required by Section 939B of the Dodd-Frank Act.  Regulation FD provides that when an issuer, or... Read more →

by   |   October 10, 2010

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Public Companies Will Need Special Board Approval to Enter Into Non-Cleared Swaps

Energy, Public Companies and Securities Title VII of the Dodd-Frank Act broadly requires many swap transactions to be subject to exchange trading and clearing requirements.  However, many end-users of swaps that use... Read more →

by   |   October 9, 2010