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 »

Dodd-Frank Blog

SEC Proposes Rules Regarding Eligibility of Investment Advisers to Register With the SEC

Stacks of Coins

Banking, Broker-Dealer, Investment Advisers, Private Equity Title IV of the Dodd-Frank Act includes many of the amendments to the Investment Advisers Act implemented by the Dodd-Frank Act.   These amendments include provisions that reallocate responsibility for oversight of investment advisers by delegating generally to the states responsibility over certain mid-sized advisers, i.e., those that have between $25 and $100 million of assets […] Read more →

by   |   November 25, 2010

CFTC Proposes Rule on Protection of Collateral of Counterparties to Uncleared Swaps

Banking, Derivatives, Energy, Insurance, Uncategorized The CFTC has issued a proposed rule concerning the rights of counterparties of swap dealers (“SDs”) and major swap participants (“MSPs”) with respect to the segregation of... Read more →

by   |   November 24, 2010

Dodd-Frank Corporate Governance

FSOC Holds Second Meeting and Addresses Systematically Important Financial Market Utilities

Banking, Derivatives, Insurance On Tuesday, November 23, Treasury Secretary Tim Geithner, in his capacity as chairperson of the Financial Stability Oversight Council, or FSOC, hosted the second meeting of the... Read more →

by   |   November 24, 2010

CFTC to Propose Definitions of “Swap Dealer” and “Major Swap Participant” on Dec 1

Banking, Broker-Dealer, Derivatives, Energy, Insurance The Commodity Futures Trading Commission, or CFTC, will hold a public meeting on Wednesday, December 1, 2010, to consider the issuance of proposed rulemakings under the Dodd-Frank... Read more →

by   |   November 24, 2010

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A Definition of “Venture Capital” Only the SEC Could Think Of

Investment Advisers, Private Equity  The Dodd-Frank Act repealed the “private adviser exemption” contained in section 203(b)(3) of the Investment  Advisers Act on which advisers to many venture capital funds... Read more →

by   |   November 21, 2010

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SEC Proposes Rules for Private Fund Adviser Exemption

Investment Advisers, Private Equity The Dodd-Frank Act repealed the “private adviser exemption” contained in section 203(b)(3) of the Investment Advisers Act on which advisers to many private equity and hedge... Read more →

by   |   November 20, 2010

Paperwork Galore: SEC Proposes Rules Requiring Public Reporting by Exempt Investment Advisers

Investment Advisers, Private Equity The SEC has proposed rules (Release No. IA-3110) requiring public reporting by exempt investment advisers.  The proposed reporting requirements for exempt investment advisers,... Read more →

by   |   November 20, 2010

ISS to Recommend Annual Say-On-Pay Votes and Shifts Course on Director Attendance

Executive Compensation, Public Companies and Securities ISS has issued its 2011 Corporate Governance Policy Update.  As expected, it will recommend voting for an annual say-on-pay vote and the update addresses other matters of... Read more →

by   |   November 19, 2010

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SEC Proposes Rules on Security-Based Swap Reporting

Derivatives The SEC has proposed new rules entailing how security-based swap transactions should be reported and publicly disseminated. The rules are proposed under Title VII of the... Read more →

by   |   November 19, 2010