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 Chief Supports Extension of Swap Dealer De Minimis Exemption

CFTC logo4

Derivatives Under current CFTC rules, market participants who exceed $8 billion in gross notional swap dealing activity over a twelve-month period are required to register with the CFTC as swap dealers during the phase-in period currently in effect. This phase-in period is scheduled to end, and the threshold will fall, to $3 billion in December 2017. […] Read more →

by   |   September 16, 2016

enforcement

SEC Charges Private Equity Advisor with Conflicts for Law Firm Discounts

Investment Advisers, M&A, Private Equity In a settled enforcement action, the SEC charged a private equity advisor, First Reserve Management, L.P., with conflicts of interest and other matters. First Reserve did not... Read more →

by   |   September 15, 2016

US Capitol Building

U.S. House of Representatives Pass the Accelerating Access to Capital Act

Public Companies and Securities Earlier today, the U.S. House of Representatives passed the Accelerating Access to Capital Act aimed at facilitating the formation of capital for U.S. small businesses.  The... Read more →

by   |   September 8, 2016

Minnesota

Common Deficiencies Noted in Exams of Minnesota Registered Investment Advisers

Investment Advisers The Minnesota Department of Commerce recently conducted a series of routine exams of investment adviser firms registered in Minnesota to analyze their compliance with certain... Read more →

by   |   September 8, 2016