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 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 dealers and municipal advisors. The MSRB’s consolidated registration rule becomes effective on May 12, 2014 for all municipal securities dealers and municipal advisors seeking to register with the MSRB. New registrants […] 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

SEC Announces Delayed Compliance with Municipal Advisor Rules

Municipal Advisors The SEC has announced that compliance with the final municipal advisor registration rules will not be required until July 1, 2014, the date on which the first set of municipal... Read more →

by   |   January 13, 2014