Stinson Leonard Street 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 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 for investment advisers who are registered with the SEC as broker-dealers to meet the requirements of section 206(3) of the Investment Advisers Act when they act […] 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

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