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 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 the MSRB’s regulatory agenda include: The Board agreed to seek approval from the Securities and Exchange Commission (SEC) to implement a “best-execution” standard for transactions in the municipal market. […] Read more →

by   |   May 11, 2014

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... 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