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

SEC: Don’t Ignore the Habitually Wrong Whistleblower

whistleblower

Broker-Dealer, Employment, Investment Advisers, Litigation, Municipal Advisors, Private Equity, Public Companies and Securities SEC Chair Mary Jo White recently gave a speech on a number of important matters, including the role of directors as gatekeepers, her views of self-reporting of violations and the SEC’s whistleblower program.  In the speech she noted “You may well have doubts about the bona fides of a particular whistleblower – perhaps because his […] Read more →

by   |   June 24, 2014

11379622_S[1]

SEC Issues Additional FAQs on Engineering Exclusion from Municipal Advisor Rules

Municipal Advisors We have reviewed prior SEC guidance on the municipal advisor rules, from a view point of structuring a business to avoid a municipal advisory role, here and here.  The SEC has... Read more →

by   |   May 19, 2014

msrb

MSRB Says Pay-to-Play Rules Coming to Municipal Advisors

Municipal Advisors, Uncategorized Following its quarterly meeting, the Municipal Securities Rulemaking Board, or MSRB, stated its Board agreed to extend its pay-to-play rules to municipal advisors. Other items on... Read more →

by   |   May 11, 2014

msrb

MSRB Requests Comment on Establishing Professional Qualification Requirements for Municipal Advisors

Municipal Advisors The Municipal Securities Rulemaking Board, or  MSRB, is seeking comment on draft amendments to its professional qualification rules to establish requirements for municipal... Read more →

by   |   March 17, 2014