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

OFR Releases Interagency Data Inventory

Banking, Consumer Protection The Office of Financial Research, or OFR, has released the Interagency Data Inventory of data that member agencies of the Financial Stability Oversight Council collect from industry. The Interagency Data Inventory project is an initiative of the Data Committee of the Financial Stability Oversight Council, or FSOC, to catalog the data that FSOC member agencies […] Read more →

by   |   January 14, 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

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SEC Exam Priorities Include Newly Registered Hedge Fund and Private Equity Advisors

Investment Advisers, Private Equity, Uncategorized The SEC has announced its examination priorities for 2014, which cover a wide range of issues at financial institutions, including investment advisers and investment companies,... Read more →

by   |   January 11, 2014

SEC Grants Second Rule 506 Bad Actor Waiver

Broker-Dealer, Investment Advisers, Private Equity, Public Companies and Securities On December 26, 2013, the SEC granted its second waiver from disqualification from reliance on Regulation D because of prohibited conduct under new Rule 506(d).   The waiver was... Read more →

by   |   January 11, 2014