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

Treasury Requests Private Sector to Develop System to Identify Financial Contracts

US Capitol Building

Banking, Broker-Dealer, Derivatives, Insurance The Dodd-Frank Wall Street Reform and Consumer Protection Act established the Office of Financial Research and provides it with the authority to collect data to support the Financial Stability Oversight Council, or FSOC,  and to set standards for reporting such data.  To support the FSOC in identifying connections among market participants and monitoring systemic risk, […] Read more →

by   |   December 3, 2010

SEC Adopts Temporary Rule Regarding Principal Trades with Certain Advisory Clients

Broker-Dealer, Investment Advisers On September 24, 2007, the SEC adopted, on an interim final basis, rule 206(3)-3T, a temporary rule under the Investment Advisers Act of 1940 that provides an alternative means... Read more →

by   |   December 2, 2010

SEC logo

SIPC Proposes Bylaw Change

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... 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