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

SIPC Proposes Bylaw Change

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Broker-Dealer, Public Companies and Securities Securities Investor Protection Corporation, or SIPC, has filed with the SEC a proposed bylaw change.  The SEC has published a notice to solicit comments on the proposed bylaw change from interested persons. Section 4(c)(2) of the Securities Investor Protection Act of 1970, or SIPA, requires SIPC to impose assessments upon its member broker-dealers deemed necessary […] Read more →

by   |   December 1, 2010

Stacks of Coins

SEC Proposes Rules Regarding Eligibility of Investment Advisers to Register With the SEC

Banking, Broker-Dealer, Investment Advisers, Private Equity Title IV of the Dodd-Frank Act includes many of the amendments to the Investment Advisers Act implemented by the Dodd-Frank Act.   These amendments include provisions that... Read more →

by   |   November 25, 2010

CFTC to Propose Definitions of “Swap Dealer” and “Major Swap Participant” on Dec 1

Banking, Broker-Dealer, Derivatives, Energy, Insurance The Commodity Futures Trading Commission, or CFTC, will hold a public meeting on Wednesday, December 1, 2010, to consider the issuance of proposed rulemakings under the Dodd-Frank... Read more →

by   |   November 24, 2010

FINRA to SEC: “No Need to Reinvent the Wheel”

Broker-Dealer Not surprisingly, FINRA strongly supports the creation of a new self-regulatory organization to enhance the frequency of examinations of investment advisers – one based on... Read more →

by   |   November 11, 2010