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

MSRB Seeks to Extend Pay-to-Play Rule to Municipal Advisors

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Banking, Broker-Dealer, Municipal Advisors The Municipal Securities Rulemaking Board, or MSRB, is requesting comment on draft amendments to Rule G-37, the MSRB’s pay-to-play rule for municipal securities dealers, that would extend the rule to municipal advisors. According to the  MSRB, the draft amendments seek to curb pay-to-play activities by municipal advisors and provide greater transparency regarding their political contributions. […] Read more →

by   |   August 18, 2014

FSOC

FSOC = Firing Squad On Capitalism Says SEC Commissioner

Banking, Broker-Dealer, Insurance Speaking at a conference, SEC Commissioner Michael S. Piwowar’s opening remarks included “In preparing for this speech, I thought a lot about what moniker I could use to best... Read more →

by   |   July 15, 2014

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New C&DIs on Verification of Accredited Investor Status

Broker-Dealer, Investment Advisers, Private Equity, Public Companies and Securities On July 3, 2014, the SEC released six new Compliance and Disclosure Interpretations relating to verification of prospective investors as accredited investors for purposes of Rule... Read more →

by   |   July 5, 2014

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Verifying Accredited Investors in Public Rule 506 Offerings: SIFMA Guidance

Broker-Dealer, Investment Advisers, Private Equity, Public Companies and Securities On June 23, 2014, the Securities Industry and Financial Markets Association (SIFMA) published a memo outlining several specific methods for verifying accredited investor status... Read more →

by   |   June 28, 2014