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 »

Latest Dodd-Frank Posts

FINRA Proposes More Changes to Corporate Financing Rule

Broker-Dealer, Public Companies and Securities We noted earlier some key changes FINRA was proposing to the Corporate Financing Rule.  Here at Stinson Leonard Street we all gave each other the “high five” because the proposals made so much sense and made it easier for our clients to comply.  Now FINRA has proposed more changes to the Corporate Financing Rule.  In […] Read more →

by   |   February 7, 2014

No Action Letter Allows M&A Brokers to Receive Transaction-Based Compensation

Broker-Dealer Historically, the SEC has taken the position that in order for a person to receive transaction-based compensation in connection with the sale of securities – even when the sale... Read more →

by   |   February 5, 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