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

MSRB Provides Guidance on Developing Supervision and Compliance Programs for Municipal Advisors

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Municipal Advisors, Uncategorized Rule G-44 of the Municipal Securities Rulemaking Board, or MSRB, became effective on April 23, 2015. That Rule establishes the supervisory and compliance obligations of municipal advisors. The MSRB has provided an educational document designed to support municipal advisors’ development of effective policies and procedures for supervision and compliance, particularly for municipal advisors that are... Read more →

by   |   June 17, 2015

enforcement

SEC Says Fantasy Stock Trading Violates Securities Laws; Charges Others for Selling Illegal Security-Based Swaps

Derivatives, Litigation, Public Companies and Securities The SEC issued an Investor Alert which says fantasy stock trading for small amounts of money can violate provisions of securities laws implemented by the Dodd-Frank Act.  I bet... Read more →

by   |   June 17, 2015

job creation just ahead

SEC Denies Montana’s Request to Stay Regulation A+

Public Companies and Securities Montana and Massachusetts previously filed suit to challenge Regulation A+ adopted by the SEC under the JOBS Act.  On June 5, 2015, Montana requested that the Commission stay the... Read more →

by   |   June 16, 2015

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SEC Has No Plans to Change the Way Administrative Judges Are Appointed (For Now)

Litigation, Public Companies and Securities The United States District Court for the Northern District of Georgia, Atlanta Division, entered a preliminary injunction preventing the SEC from conducting an administrative... Read more →

by   |   June 16, 2015