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

Who are the Swap Dealers?

Derivatives, Energy We recently passed the first rolling 12-month period for determining which entities will surpass the CFTC’s de minimis swap dealing levels and thus be “swap dealers” under the Dodd-Frank Act. So, who are they? The National Futures Association maintains an up-to-date registry of swap dealers and major swap participants, along with their respective CFTC registration […] Read more →

by   |   November 11, 2013

SEC Charges Manager of Private Equity Fund With Violation of the Custody Rule

Investment Advisers, Private Equity The SEC has settled an administrative action with the managing member of a fund of private equity funds.  In an examination the SEC staff learned that the  manager was violating... Read more →

by   |   November 11, 2013

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SEC Provides Guidance on Definition of “Qualified Client”

Investment Advisers, Private Equity Rule 205-3 issued under the Investment Advisers Act of 1940, or the Advisers Act, provides an exemption from section 205(a)(1) of the Advisers Act, which prohibits an investment... Read more →

by   |   November 6, 2013

CFTC Re-Proposes Position Limits on Physical Commodity Derivatives

Derivatives, Energy Yesterday, the CFTC voted to approve a new position limits rule that resembles the agency’s previous short-lived rule (vacated and now abandoned after court challenge),... Read more →

by   |   November 6, 2013