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 Staff Study on Investor Access to Registration Information About Investment Advisers and Broker-Dealers

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Broker-Dealer, Investment Advisers Section 919B of the Dodd-Frank Act directs the SEC to complete a study, including recommendations, of ways to improve the access of investors to registration information about registered and previously registered investment advisers, associated persons of investment advisers, brokers and dealers and their associated persons, and to identify additional information that should be made publicly […] Read more →

by   |   January 27, 2011

SEC Staff to Congress: Brokers Should be Subject to a Uniform Fiduciary Standard

Banking, Broker-Dealer, Investment Advisers The staff of the SEC has delivered to Congress a long-awaited study pursuant to Section 913 of the Dodd-Frank Act.  That provision of the Dodd-Frank Act requires the SEC to... Read more →

by   |   January 22, 2011

GAO Report: Regulation of Financial Planners is Adequate

Broker-Dealer, Insurance, Investment Advisers The United States Government Accountability Office, or GAO, has issued a report that responds to a mandate included in Section 919C of the Dodd-Frank Act that directed GAO to... Read more →

by   |   January 21, 2011

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SEC Staff Concludes Insufficient Capacity to Examine Investment Advisers

Banking, Broker-Dealer, Investment Advisers, Private Equity Thus, the staff believes that the SEC likely will not have sufficient capacity in the near or long term to conduct effective examinations of registered investment advisers with... Read more →

by   |   January 19, 2011