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

U.S. House of Representatives Acts to Create New Category of Exempt Transaction Under the Securities Act of 1933

Broker-Dealer, Consumer Protection, Public Companies and Securities On November 9, 2017, the U.S. House of Representatives passed the Micro Offering Safe Harbor Act.  The vote was largely along party lines, with Rep. Walter Jones from North Carolina’s third district casting the lone Republican dissenting vote.  The Act, as we previously reported here, resurrected a failed bill introduced by Rep. Tom Emmer (R-MN) […] Read more →

by   |   November 10, 2017

Treasury’s Recommendations for the Volcker Rule

Banking, Broker-Dealer, Derivatives The U.S. Department of the Treasury previously issued its first in a series of reports to President Donald J. Trump examining the United States’ financial regulatory system. The... Read more →

by   |   July 19, 2017

SEC logo

New SEC Chair Announces Guiding Principles

Banking, Broker-Dealer, Public Companies and Securities In remarks before the Economic Club of New York, new SEC Chairman Jay Clayton discussed eight guiding principles: Principle #1: The SEC’s mission is our touchstone. Investors... Read more →

by   |   July 12, 2017

SEC Charges Chief Compliance Officer with AML Violations

Broker-Dealer, Litigation The SEC announced that John David Telfer, the former chief compliance officer and anti-money laundering (AML) officer of a registered broker-dealer, agreed to a securities... Read more →

by   |   June 14, 2017