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 »

SEC Adopts Temporary Rule Regarding Principal Trades with Certain Advisory Clients

Broker-Dealer, Investment Advisers On September 24, 2007, the SEC adopted, on an interim final basis, rule 206(3)-3T, a temporary rule under the Investment Advisers Act of 1940 that provides an alternative means for investment advisers who are registered with the SEC as broker-dealers to meet the requirements of section 206(3) of the Investment Advisers Act when they act […] Read more →

by   |   December 2, 2010

Agencies Issue Final Appraisal and Evaluation Guidelines

Banking The federal financial regulatory agencies issued final supervisory guidance on sound practices by financial institutions for real estate appraisals and evaluations.  Financial... Read more →

by   |   December 2, 2010

CFTC to Address End User Exception December 9

Banking, Derivatives, Energy, Private Equity, Public Companies and Securities The Commodity Futures Trading Commission, or CFTC, will hold a public meeting on Thursday, December 9, 2010, to consider the issuance of proposed rulemakings under the Dodd-Frank... Read more →

by   |   December 2, 2010

US Capitol Building

CFTC Issues Proposed Rules on Reporting, Recordkeeping, and Daily Trading Records Requirements for Swap Dealers and Major Swap Participants

Banking, Derivatives, Energy Section 731 of the Dodd-Frank Act amends the Commodity Exchange Act, or CEA, by inserting Sections 4s(f) and 4s(g), which establish reporting, recordkeeping, and daily trading... Read more →

by   |   December 1, 2010