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

Stacks of Coins

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 exchanges that post security-based swaps or make them available for trading.  Section 765 of the Dodd-Frank Act lays out requirements designed to mitigate conflicts of interests at clearing agencies that clear security-based... 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