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

Comments on SEC Study Regarding Obligations of Brokers, Dealers, and Investment Advisers

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Public Companies and Securities In a recent posting we highlighted issues surrounding the imposition of a fiduciary standard on broker-dealers.  Gauging from the overwhelming majority of comments received to date, the SEC will continue, as expected, to receive strong pushback not only from the largest brokerage houses, but also from solo and smaller firm industry participants.  Their mantra has been […] Read more →

by   |   August 25, 2010

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The SEC’s Difficult Task in Defining a “Venture Capital Fund”

Public Companies and Securities Section 407 of the Dodd-Frank Act provides an exemption from registration as an investment adviser if the investment adviser provides advice solely to one or more venture capital... Read more →

by   |   August 24, 2010

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Notice Requirements for Broker-Dealers

Public Companies and Securities With respect to the borrowing of securities from customers, Section 929X of the Dodd-Frank Act imposes the following two additional requirements on broker-dealers:  (i) every... Read more →

by   |   August 24, 2010

Stacks of Coins

CFTC and SEC Roundtable Contentious

Banking, Energy, Insurance, Public Companies and Securities As we noted, the SEC and CFTC held a joint roundtable on August 20, 2010 addressing governance and conflicts of interest on clearing and listing of swap transactions.  Gary... Read more →

by   |   August 22, 2010