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 Private Equity

Model Rule Exempting M&A Brokers Proposed by NASAA

NASAA

Broker-Dealer, Private Equity The Broker-Dealer section of the North American Securities Administrators Association (NASAA) has proposed a model uniform state rule (the “Model Rule”) that would exempt parties that act only as deal brokers in M&A transactions from regulation under applicable state broker-dealer laws. Last January, the SEC released a no-action letter (the “SEC Letter”) in which it outlined […] Read more →

by   |   January 18, 2015

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Private Placement Due Diligence and Contingency Offerings Among FINRA’s 2015 Priorities

Broker-Dealer, Private Equity On January 6, 2015, FINRA released its 10th annual Regulatory and Examinations Priorities Letter in which it identified key areas of focus for FINRA investigations for 2015. Since... Read more →

by   |   January 11, 2015

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Fed Issues Volker Rule FAQs

Banking, Private Equity The Federal Reserve Board has issued FAQs on the Volker Rule set forth in Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.  The FAQs mirror other... Read more →

by   |   December 31, 2014

Volker Rule Compliance for Private Equity and Hedge Funds Extended

Banking, Investment Advisers, Private Equity The Federal Reserve Board has acted under section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, commonly known as the Volcker Rule, to give banking... Read more →

by   |   December 19, 2014