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 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

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

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A Definition of “Venture Capital” Only the SEC Could Think Of

Investment Advisers, Private Equity  The Dodd-Frank Act repealed the “private adviser exemption” contained in section 203(b)(3) of the Investment  Advisers Act on which advisers to many venture capital funds... Read more →

by   |   November 21, 2010

SEC logo

SEC Proposes Rules for Private Fund Adviser Exemption

Investment Advisers, Private Equity The Dodd-Frank Act repealed the “private adviser exemption” contained in section 203(b)(3) of the Investment Advisers Act on which advisers to many private equity and hedge... Read more →

by   |   November 20, 2010