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

OFR Analyzes Changes in Regulatory Use of Credit Ratings Since Dodd-Frank

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Banking, Broker-Dealer, Public Companies and Securities Treasury’s Office of Financial Research has released a brief entitled “Credit Ratings in Financial Regulation: What’s Changed Since the Dodd-Frank Act?” The introductory statement notes “The use of credit ratings in financial regulation created perverse incentives for market participants and contributed to the financial crisis. As part of the Dodd-Frank Wall Street Reform and... Read more →

by   |   April 24, 2016

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New Proposed Rules on Banker Incentive Compensation Released

Banking, Broker-Dealer, Employment, Executive Compensation The National Credit Union Administration, or NCUA, became the first of six Agencies to unveil a revised rule proposal under Section 956 of the Dodd-Frank Act: prohibiting... Read more →

by   |   April 21, 2016

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GAO Says Financial Regulatory Structure is Fragmented and Inefficient

Banking, Broker-Dealer A GAO study found the U.S. financial regulatory structure is complex, with responsibilities fragmented among multiple agencies that have overlapping authorities. As a result,... Read more →

by   |   March 29, 2016

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SEC Brings First Ever Charges Against Municipal Advisors

Banking, Broker-Dealer, Litigation, Municipal Advisors The SEC charged Kansas-based Central States Capital Markets, its CEO, and two employees for breaching their fiduciary duty by failing to disclose a conflict of interest to a... Read more →

by   |   March 15, 2016