Stinson Leonard Street 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

PCAOB Adopts Interim Inspection Program for Broker-Dealer Audits


Broker-Dealer, Uncategorized The Public Company Accounting Oversight Board has adopted certain rules to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act related to audits of securities brokers and dealers. Specifically, the PCAOB adopted a temporary rule to establish an interim inspection program for registered public accounting firms’ audits of brokers and dealers. The […] Read more →

by Steve Quinlivan   |   June 16, 2011

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SEC Proposes Rules Regarding Broker-Dealer Reporting

Broker-Dealer, Investment Advisers The SEC has proposed amendments to the broker-dealer financial reporting rule under the Securities Exchange Act of 1934.  The amendments would: update the existing requirements... Read more →

by Steve Quinlivan   |   June 16, 2011

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CFTC Proposes to Postpone the Effective Date of Numerous Swap Trading Provisions

Banking, Derivatives, Energy The CFTC has proposed an order providing exemptive relief from various swap trading provisions of the Dodd-Frank Act that would otherwise go into effect on July 16, 2011 because... Read more →

by Nate Endrud   |   June 15, 2011


Agencies Adopt a Final Rule to Establish a Risk-Based Capital Floor

Banking Three federal banking regulatory agencies adopted a final rule that establishes a floor for the risk-based capital requirements applicable to the largest, internationally active... Read more →

by Steve Quinlivan   |   June 14, 2011