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

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 Wall Street Reform and Consumer Protection Act on the following topics: Further definition of “swap dealer,” “security-based swap dealer,” “major swap participant” and “eligible contract participant. Core principles... 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

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... 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