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 Investment Advisers

SEC Proposes Permanent Rule Requiring Municipal Advisors to Register With Agency

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Banking, Broker-Dealer, Investment Advisers The SEC has proposed a rule creating a new process by which municipal advisors must register with the SEC.  The proposed rule, required by the Dodd-Frank Wall Street Reform and Consumer Protection Act, would supplant a temporary rule the Commission adopted in September. Because the Act required that these advisors register by Oct. 1, 2010, […] Read more →

by   |   December 20, 2010

Will Whistleblower Claims Give Rise to More SEC Enforcement Actions?

Broker-Dealer, Investment Advisers, Private Equity The Dodd-Frank Act’s whistleblower protection provisions will go into effect no later than nine months after July 22, 2010.  When they do, it will be interesting to see if they... Read more →

by   |   December 9, 2010

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SEC Proposes Revised Fees for Investment Advisers

Investment Advisers Section 204(b) of the Investment Advisers Act of 1940  authorizes the SEC to require investment advisers to file applications and other documents through an entity designated by... Read more →

by   |   December 3, 2010

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... Read more →

by   |   December 2, 2010