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

T+2 Settlement Gathers Momentum

Broker-Dealer, Municipal Advisors, Public Companies and Securities, Uncategorized FINRA is seeking comment on proposed amendments to FINRA rules shortening the securities settlement cycle to two days.  The rulemaking notice cites a September 2015 letter in which SEC Chair White responded to industry groups expressing her strong support for industry efforts to shorten the trade settlement cycle to T+2 and urging the industry to […] Read more →

by   |   March 9, 2016

MSRB Publishes Compliance Advisory for Municipal Advisors

Municipal Advisors The Municipal Securities Rulemaking Board, or MSRB, published its first Compliance Advisory for Municipal Advisors, developed to assist municipal advisors with understanding and... Read more →

by   |   November 13, 2015

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... Read more →

by   |   November 9, 2015

SEC logo

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