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

MSRB Requests Comment on Supervisory Rule for Municipal Advisors

msrb

Municipal Advisors The Municipal Securities Rulemaking Board, or MSRB, is requesting comment on a proposed rule that would require municipal advisors to adopt a basic supervisory structure to ensure compliance with applicable MSRB and Securities and Exchange Commission (SEC) rules. MSRB Rule G-44 would require municipal advisors to establish and maintain a system to supervise the municipal […] Read more →

by   |   May 25, 2011

whistleblower

SEC Adopts Final Whistleblower Rules

Employment, Litigation, Public Companies and Securities The SEC has adopted final whistleblower rules under Section 922 of the Dodd-Frank Act.  A controversial issue with respect to the proposed rules  was the impact of the... Read more →

by   |   May 25, 2011

Quinlivan.Stephen.web

SEC Proposes Rule 506 Bad Actor Disqualifications

Broker-Dealer, Private Equity, Public Companies and Securities The SEC has proposed rules under Section 926 of the Dodd-Frank Act to disqualify offerings involving felons and other “bad actors” and associated persons  from relying on... Read more →

by   |   May 25, 2011

msrb

MSRB Holds Meeting to Consider Dodd-Frank Related Rules

Municipal Advisors The Board of Directors of the Municipal Securities Rulemaking Board, or MSRB, held a special meeting on May 19-20, 2011 where it advanced major rule proposals governing fiduciary... Read more →

by   |   May 23, 2011