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 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 John W. Lawton, who purportedly committed multiple violations of the antifraud provisions of the securities laws. The respondent’s alleged misconduct resulted in the imposition of a […] Read more →

by   |   August 5, 2014

SEC: Don’t Ignore the Habitually Wrong 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... Read more →

by   |   June 24, 2014

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 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