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

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 the structure FINRA uses to regulate broker-dealers.  In recent correspondence from FINRA Chairman and Chief Executive Officer Richard Ketchum to SEC Secretary Elizabeth M. Murphy, Chairman Ketchum, citing the SEC’s... 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

Stacks of Coins

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

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... Read more →

by   |   October 13, 2010