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 Names Thomas Butler as Director of New Office of Credit Ratings

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Public Companies and Securities, Uncategorized   The SEC has announced that Thomas J. Butler has been appointed Director of the agency’s new Office of Credit Ratings. The SEC’s Office of Credit Ratings was created by the Dodd-Frank Act and is responsible for overseeing the nine registered Nationally Recognized Statistical Rating Organizations (NRSROs). Required among these responsibilities is conducting an annual […] Read more →

by   |   June 18, 2012

New Broker-Dealer Notice-Filing Obligations in Private Placements

Broker-Dealer, Private Equity On June 7, 2012, SEC approved new FINRA Rule 5123, which imposes a new notice filing requirement on broker-dealers in private placements.  Specifically, the rule requires that a... Read more →

by   |   June 13, 2012

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SEC Publishes Statistics on Changes to Investment Adviser Registration as a Result of the Dodd-Frank Act

Investment Advisers, Private Equity March 30, 2012 was the compliance date for several provisions of the Dodd-Frank Act that amended the registration provisions of the Investment Advisers Act.  As of that date:... Read more →

by   |   June 12, 2012

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SEC Issues “Roadmap” on Phase in of Derivatives Regulation

Banking, Derivatives The SEC has issued a policy statement describing the order in which it expects new rules regulating the derivatives market would take effect. The statement covers final rules to... Read more →

by   |   June 11, 2012