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

Newly Effective Rule 6490 Gives FINRA a Larger Role in Advance Notifications

Public Companies and Securities Rule 10b-17 under the Securities Exchange Act of 1934 (the “Act”) provides that the failure of an issuer to provide advance notice to regulatory authorities in connection with certain actions constitutes a manipulative or deceptive device or contrivance within the meaning of Section 10(b) of the Act.  Under Rule 10b-17(b)(1), an issuer must provide the […] Read more →

by   |   December 1, 2010

CFTC Proposes Long-Awaited Rule on Swap Dealer and Major Swap Participant Definitions

Banking, Derivatives, Energy, Insurance Today, the CFTC approved, by a 3-2 vote (Commissioners Sommers and O’Malia dissenting), a long-awaited proposed rule defining the terms “swap dealer” and “major swap... Read more →

by   |   December 1, 2010

US Capitol Building

CFTC Issues Proposed Rules on Reporting, Recordkeeping, and Daily Trading Records Requirements for Swap Dealers and Major Swap Participants

Banking, Derivatives, Energy Section 731 of the Dodd-Frank Act amends the Commodity Exchange Act, or CEA, by inserting Sections 4s(f) and 4s(g), which establish reporting, recordkeeping, and daily trading... Read more →

by   |   December 1, 2010

SEC logo

SIPC Proposes Bylaw Change

Broker-Dealer, Public Companies and Securities Securities Investor Protection Corporation, or SIPC, has filed with the SEC a proposed bylaw change.  The SEC has published a notice to solicit comments on the proposed bylaw... Read more →

by   |   December 1, 2010