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

CFTC Eliminates Key Exemption From Registration as a Commodity Pool Operator

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Derivatives, Investment Advisers The CFTC has eliminated the exemption from registration as a commodity pool operator, or CPO, set forth in CFTC Rule 4.13(a)(4).  The Rule provided an exemption from CPO registration for the operators of commodity pools with sophisticated investors.  As a result, some hedge fund advisors may be required to register as a CPO.  The CFTC […] Read more →

by   |   February 13, 2012

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SEC Issues FAQs on Form ADV

Investment Advisers, Private Equity Many sponsors of private equity funds and hedge funds are scrambling to register as investment advisers with the SEC as required by the Dodd-Frank Act.  The process is completed... Read more →

by   |   February 9, 2012

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Goldman and Morgan Stanley Negotiate Withdrawal of Shareholder Clawback Proposal

Public Companies and Securities We previously reported Morgan Stanley sought to exclude a shareholder proposal submitted on behalf of the Comptroller of the City of New York as custodian and a trustee of several... Read more →

by   |   February 7, 2012

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MSRB Issues Proposal to Restrict Underwriters’ Provision of Bondholder Consent

Municipal Advisors The Municipal Securities Rulemaking Board, or MSRB, has published a draft proposal concerning circumstances under which municipal bond underwriters would violate their duty to... Read more →

by   |   February 7, 2012