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

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 report included detailed recommendations regarding the financial regulatory system, many of which would not require further legislation to implement. Some of those recommendations relate to the Volcker […] Read more →

by   |   July 19, 2017

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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

FINRA Solicits Comments on Rules Impacting Capital Formation and Proposed Changes to the Corporate Financing Rule

Broker-Dealer, Public Companies and Securities In what seems to be a bow to the Trump Administration, FINRA has issued Regulatory Notice 17-14 which broadly seeks comments on FINRA rules that impact capital formation. Specific... Read more →

by   |   April 20, 2017