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

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

Stacks of Coins

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 reallocate responsibility for oversight of investment advisers by delegating generally to the states responsibility over certain mid-sized advisers, i.e., those that have between $25 and $100 million of assets […] 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

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