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 to Implement Gifts Rule for Municipal Advisors

Broker-Dealer, Municipal Advisors The Municipal Securities Rulemaking Board, or MSRB, has received approval from the SEC to limit the size and nature of gifts given by municipal advisors in their professional capacity advising state and local governments. The new restrictions seek to address conflicts of interest that may arise from gift-giving in connection with municipal advisory activities. The […] Read more →

by   |   November 9, 2015

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

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... 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