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

FINRA Ups the Retail Customer Disclosure Ante

Broker-Dealer The Dodd-Frank Act clearly emphasized the need to clarify the ongoing confusion, especially in the eyes of the retail investing public, of the distinctions between broker-dealers and investment advisers.  It also authorized SEC rulemaking to establish a fiduciary duty standard for broker-dealers.  To add to this mix, yesterday FINRA issued a concept proposal on what disclosure broker-dealers […] Read more →

by   |   October 28, 2010

Beware of Twitter

Banking, Broker-Dealer, Public Companies and Securities Companies, like athletes, show business types, and your teenage kids, have been flocking to twitter.  Be careful, says Michele N. Anderson, Chief of the Office of Mergers and... Read more →

by   |   October 20, 2010

Stacks of Coins

SEC Proposes Rules to Mitigate Conflicts of Interest Involving Security-Based Swaps

Broker-Dealer, Derivatives The SEC has proposed rules intended to mitigate conflicts of interest for security-based swap clearing agencies, security-based swap execution facilities, and national securities... Read more →

by   |   October 13, 2010

US Capitol Building

SEC Adopts Interim Rule on Reporting and Record Retention for Pre-Enactment Security-Based Swaps

Broker-Dealer, Derivatives Section 766 of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act  requires the SEC to adopt an interim final rule for the reporting of security-based... Read more →

by   |   October 13, 2010