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 Invites Regulated Entities to Voluntarily Submit Self-Assessments of Diversity Policies and Practices

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Broker-Dealer, Employment, Investment Advisers, Municipal Advisors, Private Equity The SEC Office of Minority and Women Inclusion, or OMWI, invited entities regulated by the SEC to submit a Diversity Assessment Report. Entities regulated by the SEC include broker-dealers, investment advisers, investment companies (mutual funds), transfer agents, municipal advisors, private fund advisers, clearing agencies, nationally recognized statistical rating organizations, national securities... Read more →

by   |   January 25, 2018

MSRB Warns Municipalities, Underwriters and Municipal Advisors about Selective Disclosure

Municipal Advisors Regulation FD prohibits public companies from disclosing material nonpublic information to designated classes of persons such as securities professionals and holders of the... Read more →

by   |   September 13, 2017

SEC Brings First Action under Dodd-Frank Municipal Advisor Antifraud Rules

Litigation, Municipal Advisors Two California-based municipal advisory firms and their executives have agreed to settle SEC charges that they used deceptive practices when soliciting the business of five... Read more →

by   |   June 13, 2016

SEC Brings First Ever Charges Against Municipal Advisors

Banking, Broker-Dealer, Litigation, Municipal Advisors The SEC charged Kansas-based Central States Capital Markets, its CEO, and two employees for breaching their fiduciary duty by failing to disclose a conflict of interest to a... Read more →

by   |   March 15, 2016