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 Makes Municipal Advisor Compliance Transcript Available

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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. ABOUT STINSON LEONARD STREET Stinson Leonard Street LLP provides sophisticated transactional and litigation legal services to clients ranging from individuals and privately held enterprises to national […] Read more →

by   |   December 9, 2014

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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

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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

Scale and Gavel

SEC Commissioner Objects to Retroactive Application of Dodd-Frank Bars

Investment Advisers, Litigation, Municipal Advisors Commissioner Gallagher recently filed this opinion dissenting in part with respect to In the Matter of John W. Lawton. The matter arose out of the alleged misconduct of respondent... Read more →

by   |   August 5, 2014