Dodd-Frank’s “Living Will Rule” and the Impact on Financial Firms

  While the Dodd-Frank Act has had a broad impact on banking, one of the key aspects is the “Living Will Rule,” which seeks to limit the risks of “too big to fail” financial institutions in the United States. In this exclusive LegalMinds/NASDAQ Securities & Capital Market Series interview, Walter Mix III, a former bank [...]

The Impact of Dodd-Frank on Private Placements

With the enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act last year, there were sweeping changes in the regulation of the financial markets.  While much of the attention has been on publicly traded securities, recent changes in the legislation are also having an impact on private placements. According to James Smith, a [...]