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 »

SEC Says Registration as an Investment Adviser Not Necessary for 100% Owned Corporate Groups

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Investment Advisers, Private Equity, Uncategorized The SEC staff recently issued a no-action letter stating that registration as an investment adviser was not necessary when (i) asset management services are provided only to wholly-owned subsidiaries of a parent which also owns the adviser, (ii) the adviser does not hold itself out to the public as an investment adviser and (iii) the […] Read more →

by   |   February 18, 2014

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SEC Issues Guidance on Unbundling of Proxy Proposals

Public Companies and Securities, Uncategorized Exchange Act Rule 14a-4(a)(3) concerns the “unbundling” of separate matters that are submitted to a shareholder vote by a company or any other person soliciting proxy... Read more →

by   |   January 24, 2014

conflict minerals

AICPA Describes Audit Procedures for Conflict Minerals Audit

Public Companies and Securities, Uncategorized The AICPA has issued additional guidance regarding the independent private-sector audit, or IPSA, which is required in some circumstances under the conflicts minerals rules. ... Read more →

by   |   January 18, 2014

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SEC Exam Priorities Include Newly Registered Hedge Fund and Private Equity Advisors

Investment Advisers, Private Equity, Uncategorized The SEC has announced its examination priorities for 2014, which cover a wide range of issues at financial institutions, including investment advisers and investment companies,... Read more →

by   |   January 11, 2014