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

SEC Approves Additional Changes to FINRA Corporate Financing Rule

Broker-Dealer, Public Companies and Securities The SEC has approved additional changes to the FINRA Corporate Financing Rule.  The approved changes: expand the circumstances under which members and issuers may negotiate termination fees and rights of first refusal, with specified conditions; exempt from the filing requirements exchange-traded funds formed as grantor or statutory trusts; and codify the electronic filing requirement. These […] Read more →

by   |   May 12, 2014

MSRB Says Pay-to-Play Rules Coming to Municipal Advisors

Municipal Advisors, Uncategorized Following its quarterly meeting, the Municipal Securities Rulemaking Board, or MSRB, stated its Board agreed to extend its pay-to-play rules to municipal advisors. Other items on... Read more →

by   |   May 11, 2014

SEC Discusses Troubling Private Equity Practices

Investment Advisers, Private Equity, Uncategorized Andrew J. Bowden, Director, SEC Office of Compliance Inspections and Examinations, gave a talk where he discussed troubling practices identified in examinations of private equity... Read more →

by   |   May 10, 2014

SEC Response to NAM Motion for Stay of Conflict Minerals Rules

Public Companies and Securities I hope NAM et al are successful in their motion for a stay of the conflict minerals rules, but it certainly isn’t a slam dunk.   The SEC has filed its response to the motion... Read more →

by   |   May 9, 2014