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

SEC Requests Comment on Corporate Governance, Management and Security Holder Matters

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Public Companies and Securities The SEC is requesting public comment on certain disclosure requirements in Regulation S-K relating to management, certain security holders, and corporate governance matters contained in Subpart 400. This request is part of the Division of Corporation Finance’s disclosure effectiveness initiative. Comments received in response to the request for comment will also be used in the […] Read more →

by   |   August 27, 2016

GAO Seal

GAO Says Companies Face Continuing Challenges in Determining Whether Their Conflict Minerals Benefit Armed Groups

Public Companies and Securities GAO noted in a recent report that as a result of country-of-origin inquiries, an estimated 19 percent more companies that filed Form SD with the SEC reported that they knew or had... Read more →

by   |   August 27, 2016

SEC logo

SEC Updates Form ADV

Investment Advisers, Private Equity The SEC has adopted final rules requiring investment advisers to provide additional information on Form ADV and other matters. You can find our analysis on the proposed rules... Read more →

by   |   August 25, 2016

enforcement

SEC Busts Apollo for Disclosure and Supervisory Failures

Investment Advisers, Litigation, M&A, Private Equity The SEC charged four private equity fund advisers affiliated with Apollo Global Management for misleading fund investors about fees and a loan agreement and failing to supervise a... Read more →

by   |   August 23, 2016