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

FINRA Reminds Anti-Whistleblower Provisions Are Not Permitted in Settlement Agreements

whistleblower

Broker-Dealer, Litigation FINRA has published a regulatory notice where it reminds firms that it is a violation of FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade) to include confidentiality provisions in settlement agreements or any other documents, including confidentiality stipulations made during a FINRA arbitration proceeding, that prohibit or restrict a customer or any […] Read more →

by   |   October 15, 2014

Fallon.Robert.web

Spoofing Back in the News — First Criminal Indictment for Spoofing; CFTC Settlement Lays Out Telltale Signs of Spoofing

Broker-Dealer, Energy Last week the government handed down its first criminal indictment for allegedly engaging in “spoofing” and the Commodity Futures Trading Commission settled with Eric Moncada... Read more →

by   |   October 13, 2014

broker-dealer

It’s Going to be Harder to Sell Unregistered Securities

Broker-Dealer, Public Companies and Securities The SEC has issued a Risk Alert and FAQs to remind broker-dealers of their obligations when they sell unregistered securities on behalf of clients.  This occurs when founders and... Read more →

by   |   October 9, 2014

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SEC Proposes Communications Exemption for Certain Security Based Swaps

Broker-Dealer, Derivatives The Dodd-Frank Act amended the Securities Act of 1933 and the Securities Exchange Act of 1934  to include “security-based swaps” in the definition of “security” for... Read more →

by   |   September 8, 2014