Stinson Leonard Street 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 Requests Comment on Establishing Professional Qualification Requirements for Municipal Advisors

Municipal Advisors The Municipal Securities Rulemaking Board, or  MSRB, is seeking comment on draft amendments to its professional qualification rules to establish requirements for municipal advisors and their associated persons. The draft amendments would set professional qualification standards for municipal advisor professionals and require municipal advisors and their associated persons engaging in municipal advisory... Read more →

by   |   March 17, 2014

MSRB to Implement Registration Process for Municipal Securities Dealers and Municipal Advisors

Broker-Dealer, Municipal Advisors The Municipal Securities Rulemaking Board, or MSRB, has received approval from the SEC to consolidate its multiple registration requirements and forms for municipal securities... Read more →

by   |   February 27, 2014

Conducting Your Business to Avoid Municipal Advisor Registration: Energy Services and Solar Energy Companies

Municipal Advisors The final municipal advisor rules and associated guidance provide what many consider to be workable relief for energy services and solar energy companies to structure their... Read more →

by   |   February 5, 2014

SEC Publishes Draft Strategic Plan For Public Comment

Derivatives, Municipal Advisors, Public Companies and Securities The SEC has published for public comment its Draft Strategic Plan that outlines the agency’s strategic goals for fiscal years 2014 to 2018. To comment on the 2014-2018 Draft... Read more →

by   |   February 3, 2014