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 Says Registration as an Investment Adviser Not Necessary for 100% Owned Corporate Groups

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Investment Advisers, Private Equity, Uncategorized The SEC staff recently issued a no-action letter stating that registration as an investment adviser was not necessary when (i) asset management services are provided only to wholly-owned subsidiaries of a parent which also owns the adviser, (ii) the adviser does not hold itself out to the public as an investment adviser and (iii) the […] Read more →

by   |   February 18, 2014

Make CFTC Large Trader Report Available to FERC by the End of February, Eight Democratic Senators Tell CFTC Chairman

Energy On February 7, 2014, eight United States Senators told Acting Commodity Futures Trading Commission Chairman Mark Wetjen to either (1) make the CFTC’s Large Trader Report... Read more →

by   |   February 17, 2014

Conflict Minerals and BOMcheck

Public Companies and Securities An industry group has launched the first integrated conflict minerals database for suppliers called BOMcheck.  BOMcheck is currently used by over 560 manufacturers to gather... Read more →

by   |   February 17, 2014

MN Regulation of Investment Adviser Representatives

Investment Advisers In 2013, Minnesota enacted new regulatory statutes (prior coverage here, here, and here) that require “investment adviser representatives” to register with the department of... Read more →

by   |   February 16, 2014