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 Adopts Interim Final Rule on Reporting of Pre-Enactment Swaps

Banking, Derivatives, Energy, Insurance, Uncategorized Beating the deadline (October 20, 2010) for the first of its required Dodd-Frank rulemakings by more than two weeks, the CFTC has announced publication of its required interim final rule for the reporting of pre-enactment swap transactions. The basic requirements of the reporting rule are outlined below. What Counterparties are Responsible for Reporting The Act […] Read more →

by   |   October 2, 2010

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Examples of Dodd-Frank Disclosures in SEC Filings

Public Companies and Securities Dodd-Frank disclosures have begun to proliferate in SEC filings.  We reviewed many recent filings and disclosures fall into the following general categories:  internal controls,... Read more →

by   |   October 1, 2010

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Business Groups Challenge Proxy Access Rules

Public Companies and Securities The U.S. Chamber of Commerce and the Business Roundtable filed a legal challenge to the recently adopted SEC proxy access rules.  The groups asked the SEC to stay adoption of... Read more →

by   |   October 1, 2010

CFTC Chairman Also Gives Clues on Rules Timeline

Banking, Derivatives, Energy, Insurance CFTC Chairman Gary Gensler appeared before the Senate Committee on Banking, Housing, and Urban Affairs today and shed some light on the Commission’s plans regarding the... Read more →

by   |   September 30, 2010

More Clues on the SEC Dodd-Frank Timeline

Banking, Energy, Executive Compensation, Private Equity, Public Companies and Securities SEC Chair Mary Schapiro testified before the Senate Committee on Banking, Housing, and Urban Affairs on September 30, 2010. In so doing she gave more clues on the SEC’s... Read more →

by   |   September 30, 2010

The Dodd-Frank Act Expands Whistleblower Bounties

Litigation, Public Companies and Securities The SEC has issued a final rule repealing former Section 21A(e) of the Securities Exchange Act of 1934, pursuant to which the SEC had been empowered to make monetary awards to... Read more →

by   |   September 30, 2010

CFTC Seeks Comment Regarding Agricultural Swaps

Public Companies and Securities The Commodity Futures Trading Commission published an Advance Notice of Proposed Rulemaking (ANPRM) seeking public comment regarding the appropriate regulatory treatment of... Read more →

by   |   September 29, 2010

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Be Careful What You Tell the Rating Agencies – Regulation FD Revised

Banking, Insurance, Public Companies and Securities This SEC revised Regulation FD to implement Section 939B of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, which requires that the SEC amend Regulation FD... Read more →

by   |   September 29, 2010

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SEC Approves NASDAQ Rule on Uninstructed Shares

Public Companies and Securities Section 957 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”) adopted new Section 6(b)(10) of the Securities Exchange Act.  This new... Read more →

by   |   September 28, 2010