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

GAO Says Financial Regulatory Structure is Fragmented and Inefficient

Banking, Broker-Dealer A GAO study found the U.S. financial regulatory structure is complex, with responsibilities fragmented among multiple agencies that have overlapping authorities. As a result, financial entities may fall under the regulatory authority of multiple regulators depending on the types of activities in which they engage. While the Dodd-Frank Wall Street Reform and Consumer Protection Act […] Read more →

by   |   March 29, 2016

SEC Brings First Ever Charges Against Municipal Advisors

Banking, Broker-Dealer, Litigation, Municipal Advisors The SEC charged Kansas-based Central States Capital Markets, its CEO, and two employees for breaching their fiduciary duty by failing to disclose a conflict of interest to a... Read more →

by   |   March 15, 2016

T+2 Settlement Gathers Momentum

Broker-Dealer, Municipal Advisors, Public Companies and Securities, Uncategorized FINRA is seeking comment on proposed amendments to FINRA rules shortening the securities settlement cycle to two days.  The rulemaking notice cites a September 2015 letter in... Read more →

by   |   March 9, 2016

Three Bills Proposing Amendments to the Federal Securities Laws Gain Traction in Congress

Broker-Dealer, Investment Advisers, Private Equity, Public Companies and Securities The U.S. House of Representatives passed three bills on February 1, 2016 that propose changes to the federal securities laws, including the Securities Act of 1933 (’33 Act) and... Read more →

by   |   February 3, 2016