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

SEC Proposes Communications Exemption for Certain Security Based Swaps

SEC logo

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 purposes of those statutes.  As a result, “security-based swaps” are subject to the provisions of the Securities Act and the Exchange Act and the rules and regulations thereunder applicable […] Read more →

by   |   September 8, 2014

broker-dealer

FINRA and Exchanges Submit Tick Size Pilot Plan

Broker-Dealer, Public Companies and Securities FINRA and the exchanges have complied with an SEC order to establish a national market system plan to implement a targeted 12-month pilot program that will widen minimum quoting... Read more →

by   |   August 26, 2014

msrb

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

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... 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