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

House Passes JOBS and Investor Confidence Act of 2018

Broker-Dealer, Investment Advisers, M&A, Public Companies and Securities The United States House of Representatives passed the bipartisan JOBS and Investor Confidence Act of 2018, which is often referred to as JOBS Act 3.0. The bill is comprised of 32 individual pieces of legislation that have passed the Financial Services Committee or the House this Congress with broad bipartisan support.  You can find a […] Read more →

by   |   July 17, 2018

SEC logo

SEC Proposes Regulation Best Interest for Broker-Dealers

Broker-Dealer, Investment Advisers The SEC has proposed two rules and an interpretation to address retail investor confusion about the relationships that they have with investment professionals and the harm that... Read more →

by   |   April 18, 2018

SEC logo

SEC Invites Regulated Entities to Voluntarily Submit Self-Assessments of Diversity Policies and Practices

Broker-Dealer, Employment, Investment Advisers, Municipal Advisors, Private Equity The SEC Office of Minority and Women Inclusion, or OMWI, invited entities regulated by the SEC to submit a Diversity Assessment Report. Entities regulated by the SEC include... Read more →

by   |   January 25, 2018

U.S. House of Representatives Acts To Codify Registration Exemption for M&A Brokers

Broker-Dealer, M&A On December 7, 2017, the U.S. House of Representatives passed the “Small Business Mergers, Acquisitions, Sales and Brokerage Simplification Act of 2017 (H.R. 477).” The... Read more →

by   |   December 10, 2017