Stinson Leonard Street 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

SEC Provides Guidance on Definition of “Spouse” and “Marriage”

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Investment Advisers, Municipal Advisors, Public Companies and Securities The SEC has provided guidance on the definition of “spouse” and “marriage” in the wake of United States v Windsor.  That case held Section 3 of the Defense of Marriage Act was unconstitutional. As a result  the SEC will read the terms “spouse” and “marriage,” where they appear in the federal securities statutes administered by […] Read more →

by   |   June 20, 2015


MSRB Provides Guidance on Developing Supervision and Compliance Programs for Municipal Advisors

Municipal Advisors, Uncategorized Rule G-44 of the Municipal Securities Rulemaking Board, or MSRB, became effective on April 23, 2015. That Rule establishes the supervisory and compliance obligations of municipal... Read more →

by   |   June 17, 2015


MSRB Moves Foward Professional Qualification Standards For Municipal Advisors

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... Read more →

by   |   March 2, 2015


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