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 Municipal Advisors

MSRB Moves Foward Professional Qualification Standards For Municipal Advisors

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Municipal Advisors, Uncategorized The Municipal Securities Rulemaking Board, or MSRB, has received approval from the SEC to create baseline standards of professional qualification for municipal advisors. The new standards will be incorporated through amendments to the MSRB’s existing Rules G-2 and G-3 on professional qualifications and take effect April 27, 2015. The Dodd-Frank Wall Street Reform and Consumer […] Read more →

by   |   March 2, 2015

msrb

SEC Makes Municipal Advisor Compliance Transcript Available

Municipal Advisors On November 3, 2014, the SEC, MSRB and FINRA held a compliance outreach program for municipal advisors. The SEC has made an unofficial transcript of the event available here.... Read more →

by   |   December 9, 2014

msrb

SEC to Commence Examinations of Municipal Advisors

Municipal Advisors, Uncategorized The SEC announced that its Office of Compliance Inspections and Examinations, or OCIE, is launching an examination initiative directed at newly regulated municipal advisors. It... Read more →

by   |   August 20, 2014

msrb

MSRB Seeks to Extend Pay-to-Play Rule to Municipal Advisors

Banking, Broker-Dealer, Municipal Advisors The Municipal Securities Rulemaking Board, or MSRB, is requesting comment on draft amendments to Rule G-37, the MSRB’s pay-to-play rule for municipal securities dealers, that... Read more →

by   |   August 18, 2014