Latest Dodd-Frank Posts
PCAOB Reproposes Rule Requiring Engagement Partner to be Named in Audit Report
Broker-Dealer, Public Companies and Securities The Public Company Accounting Oversight Board has reproposed for public comment amendments to PCAOB auditing standards that would provide greater transparency into audits of public companies, brokers, and dealers about the engagement partner and certain other participants in the audit. The reproposed amendments would require disclosure in the auditor’s report of: the name of the […] Read more →
Rule 506 FAQs: Some Answers, Some New Questions
Broker-Dealer, Consumer Protection, Investment Advisers, Private Equity, Public Companies and Securities On December 4, 2013, the SEC released a new batch of FAQs regarding new Rules 506(d) and 506(e). Before diving in to the clarifications provided and the new uncertainties raised... Read more →
CFPB to Oversee Nonbank Student Loan Servicers
Consumer Protection The CFPB has issued a rule that allows the CFPB to supervise certain nonbank student loan servicers for the first time. The CFPB currently oversees student loan servicing at the... Read more →
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SEC Gives Guidance on Venture Capital Exemption
Investment Advisers The SEC Division of Investment Management has provided guidance regarding the application of the exemption from investment adviser registration available to an investment adviser... Read more →