Stinson Leonard Street 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

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 conduct a study on the oversight and regulation of financial planners.  There is no specific, direct regulation of “financial planners” per se at the federal or […] 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

FSOC Issues Notice of Proposed Rulemaking Regarding Authority to Require Supervision and Regulation of Certain Nonbank Financial Companies

Banking, Broker-Dealer, Insurance, Investment Advisers, Public Companies and Securities The Dodd-Frank Act mandated that the Financial Stability Oversight Council, or FSOC, ensure that all financial companies whose failure could pose a threat to the financial... Read more →

by   |   January 18, 2011

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SEC Extends Temporary Rule Regarding Principal Trades with Certain Advisory Clients

Broker-Dealer, Investment Advisers Under Section 913 of the Dodd-Frank Act, the SEC is required to conduct a study, and provide a report to Congress, concerning the obligations of broker-dealers and investment... Read more →

by   |   December 28, 2010