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

FinCEN Proposes Extending Anti-Money Laundering Compliance Requirements to Investment Advisers

Banking, Broker-Dealer, Investment Advisers, Private Equity On Tuesday, the United States Department of Treasury’s Financial Crimes Enforcement Network (FinCEN) proposed a rule that would require SEC-registered investment advisers, including private equity and hedge funds, to comply with certain anti-money laundering (AML) rules. These rules already apply to other types of financial institutions such as banks and securities broker-dealers. PURPOSE AND... Read more →

by   |   August 27, 2015

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SEC Explains How to Form a Pre-Existing Relationship Using the Internet; New CDIs Issued

Broker-Dealer, Public Companies and Securities The SEC granted no-action relief to Citizen VC, Inc. which appears to state, although subject to facts and circumstances, a pre-existing relation can be formed with a person that... Read more →

by   |   August 6, 2015

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SEC Proposes Significant Reporting Requirement Amendments to Form ADV

Broker-Dealer, Investment Advisers On May 20, 2015, the Securities and Exchange Commission (SEC) released several proposals, “Amendments to Form ADV and Investment Advisers Act Rules,” that would... Read more →

by   |   June 25, 2015

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SEC Exams to Focus on Sales of Retirement Products

Broker-Dealer, Investment Advisers The SEC Office of Compliance Inspections and Examinations, or OCIE, has launched a multi-year Retirement-Targeted Industry Reviews and Examinations (ReTIRE) Initiative.  OCIE is... Read more →

by   |   June 22, 2015