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

CFTC to Hold Open Meeting on Second Series of Proposed Rules under the Dodd-Frank Act

Derivatives The Commodity Futures Trading Commission (CFTC) will hold a public meeting on Tuesday, October 19, 2010, at 9:30 a.m. to consider the issuance of the following proposed rulemakings under the Dodd-Frank Wall Street Reform and Consumer Protection Act:  Definition of “agricultural commodity”; Position reports for physical commodity swaps and swaptions; Expanding scope of privacy protections […] Read more →

by   |   October 13, 2010

Stacks of Coins

SEC Proposes Rules to Mitigate Conflicts of Interest Involving Security-Based Swaps

Broker-Dealer, Derivatives The SEC has proposed rules intended to mitigate conflicts of interest for security-based swap clearing agencies, security-based swap execution facilities, and national securities... Read more →

by   |   October 13, 2010

US Capitol Building

SEC Adopts Interim Rule on Reporting and Record Retention for Pre-Enactment Security-Based Swaps

Broker-Dealer, Derivatives Section 766 of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act  requires the SEC to adopt an interim final rule for the reporting of security-based... Read more →

by   |   October 13, 2010

SEC logo

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

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... 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

SEC logo

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

US Capitol Building

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