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 Significant Reporting Requirement Amendments to Form ADV

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Broker-Dealer, Investment Advisers On May 20, 2015, the Securities and Exchange Commission (SEC) released several proposals, “Amendments to Form ADV and Investment Advisers Act Rules,” that would require investment advisers to provide additional information on Form ADV. Form ADV is the uniform form used by investment advisers to register with both the Securities and Exchange Commission (SEC) and […] Read more →

by   |   June 25, 2015

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SEC Exams to Focus on Sales of Retirement Products

Broker-Dealer, Investment Advisers The SEC Office of Compliance Inspections and Examinations, or OCIE, has launched a multi-year Retirement-Targeted Industry Reviews and Examinations (ReTIRE) Initiative.  OCIE is... Read more →

by   |   June 22, 2015

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SEC Continues Crackdown on Unregistered Broker-Dealers

Broker-Dealer, Consumer Protection, Private Equity A New York man has agreed to pay almost $4.5 million to settle charges by the SEC that he violated Section 15(a) of the Exchange Act by acting as an unregistered broker-dealer.... Read more →

by   |   June 14, 2015

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CFTC Taking Action on Inaccurate Reporting

Broker-Dealer, Energy The Commodity Futures Trading Commission (CFTC) is increasingly taking action on inaccurate reporting by market participants.  In the past year, the CFTC has entered into three... Read more →

by   |   April 8, 2015