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

NASAA Requests Comments on Proposed Policy Allowing Use of Electronic Offering Documents and Electronic Signatures

Broker-Dealer, Public Companies and Securities On May 2, 2016 the North American Securities Administrators Association (NASAA) issued a release requesting public comments on a proposed Statement of Policy (SOP) that would allow issuers and its selling agents to use electronic offering documents, (e.g., subscription agreements), when conducting securities offerings. Also, the proposed SOP would allow issuers to accept electronic signatures. The... Read more →

by   |   May 6, 2016

First Crowdfunding Portal Application Appears on EDGAR

Broker-Dealer, Crowdfunding CFS, LLC became the first crowdfunding portal application available on EDGAR. Actually, the initial application and two amendments are available. The company will conduct business... Read more →

by   |   May 2, 2016

US Capitol Building

Fair Access to Investment Research Act of 2016 Passes Muster in U.S. House of Representatives

Broker-Dealer, Public Companies and Securities On April 28, 2016, the U.S. House of Representative passed the Fair Access to Investment Research Act of 2016 (H.R. 5019) by a vote of 411 to 6. This bill directs the SEC to amend... Read more →

by   |   May 2, 2016

OFR Analyzes Changes in Regulatory Use of Credit Ratings Since Dodd-Frank

Banking, Broker-Dealer, Public Companies and Securities Treasury’s Office of Financial Research has released a brief entitled “Credit Ratings in Financial Regulation: What’s Changed Since the Dodd-Frank Act?” The... Read more →

by   |   April 24, 2016