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

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 under the name uFundingPortal and its website will be CrowdFundingSTAR.com.  Other than that, the application isn’t very exciting reading, but is good news as the May 16, 2016 effective date […] 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

New Proposed Rules on Banker Incentive Compensation Released

Banking, Broker-Dealer, Employment, Executive Compensation The National Credit Union Administration, or NCUA, became the first of six Agencies to unveil a revised rule proposal under Section 956 of the Dodd-Frank Act: prohibiting... Read more →

by   |   April 21, 2016