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 Broker-Dealer

Three Bills Proposing Amendments to the Federal Securities Laws Gain Traction in Congress

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Broker-Dealer, Investment Advisers, Private Equity, Public Companies and Securities The U.S. House of Representatives passed three bills on February 1, 2016 that propose changes to the federal securities laws, including the Securities Act of 1933 (’33 Act) and Securities Exchange Act of 1934 (’34 Act). The Fair Investment Opportunities for Professional Experts Act (H.R. 2187) passed the House by a vote of 347 to […] Read more →

by   |   February 3, 2016

M&A

House to (Again) Consider Bill to Exempt M&A Brokers from Exchange Act Registration

Broker-Dealer, M&A A bill that would provide a federal statutory exemption from the broker-dealer registration requirements under Section 15(a) of the Exchange Act for certain so called “M&A... Read more →

by   |   February 1, 2016

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DTCC Explores Blockchain Technology

Broker-Dealer, Public Companies and Securities The Depository Trust & Clearing Corporation, or DTCC, is integrally involved with settlement of trades in public company stocks. It has issued a white paper examining the use... Read more →

by   |   January 30, 2016

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Overstock.com to Sell Securities Using Bitcoin Blockchain Technology

Banking, Broker-Dealer, Derivatives, Public Companies and Securities Overstock.com has filed this Form S-3 which proposes to sell securities using Bitcoin blockchain technology.  The S-3 has not yet been declared effective. First question: What... Read more →

by   |   December 8, 2015