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

You Received a Proxy Access Notice — Now What?

Dodd-Frank Corporate Governance

Public Companies and Securities Upon receipt of a notice of a shareholder nominee under the proxy access rules, public companies have a series of decisions to make with tight time lines imposed by the new proxy access rules.  Decisions will have to be made beginning on receipt of the notice and will continue through the filing of the proxy […] Read more →

by   |   September 1, 2010

FDIC Commences Roundtable Discussions on the Dodd-Frank Act

Banking In connection with the implementation of the Dodd-Frank Act, the FDIC announced a series of roundtable discussions with external parties. The first discussion was held on August... Read more →

by   |   September 1, 2010

US Capitol Building

CFTC Issues Final Rules on Retail Forex Trading

Banking, Insurance, Public Companies and Securities The U.S. Commodity Futures Trading Commission has issued regulations concerning off-exchange retail foreign currency transactions. The rules implement provisions of the Dodd-Frank... Read more →

by   |   September 1, 2010

CFTC Seeks Across-the-Board Public Input on Rules

Banking, Derivatives, Energy, Insurance As the CFTC gears up to implement the Dodd-Frank Act through the more than 60 rulemakings required of it over the next eleven months, it has taken the unusual step of publishing a... Read more →

by   |   August 31, 2010

US Capitol Building

SEC Warns Rating Agencies

Banking, Litigation, Public Companies and Securities The Securities and Exchange Commission today issued a report cautioning credit rating agencies about deceptive ratings conduct and the importance of sufficient internal controls... Read more →

by   |   August 31, 2010

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Whistleblower claims begin

Banking, Employment, Litigation, Public Companies and Securities In a comment letter recently sent to the SEC, one firm describes how in a span of just 10 days it had already “filed several whistle-blower complaints with the SEC, pursuant to... Read more →

by   |   August 31, 2010

Attention Public Companies-You Have About 60 Days to Understand the Proxy Access Rules

Public Companies and Securities As many know, the SEC adopted the proxy access rules on August 25, 2010.  The new rules will be effective 60 days from publication in the Federal Register, excepting smaller... Read more →

by   |   August 26, 2010

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Comments on SEC Study Regarding Obligations of Brokers, Dealers, and Investment Advisers

Public Companies and Securities In a recent posting we highlighted issues surrounding the imposition of a fiduciary standard on broker-dealers.  Gauging from the overwhelming majority of comments received to... Read more →

by   |   August 25, 2010

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The SEC’s Difficult Task in Defining a “Venture Capital Fund”

Public Companies and Securities Section 407 of the Dodd-Frank Act provides an exemption from registration as an investment adviser if the investment adviser provides advice solely to one or more venture capital... Read more →

by   |   August 24, 2010