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 Extends Temporary Rule Regarding Principal Trades with Certain Advisory Clients

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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 advisers, including the standards of care applicable to those intermediaries and their associated persons.  The SEC intends to deliver the report concerning this study, as required by […] Read more →

by   |   December 28, 2010

First Public Company Receives Benefit of SEC Cooperation Policy—Implications for Whistleblower Claims

Banking, Broker-Dealer, Employment, Insurance, Litigation, Public Companies and Securities The first public company received credit for its cooperation as a result of the SEC’s policy with respect to cooperation in investigations and enforcement actions announced in... Read more →

by   |   December 20, 2010

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SEC Proposes Permanent Rule Requiring Municipal Advisors to Register With Agency

Banking, Broker-Dealer, Investment Advisers The SEC has proposed a rule creating a new process by which municipal advisors must register with the SEC.  The proposed rule, required by the Dodd-Frank Wall Street Reform and... Read more →

by   |   December 20, 2010

Will Whistleblower Claims Give Rise to More SEC Enforcement Actions?

Broker-Dealer, Investment Advisers, Private Equity The Dodd-Frank Act’s whistleblower protection provisions will go into effect no later than nine months after July 22, 2010.  When they do, it will be interesting to see if they... Read more →

by   |   December 9, 2010