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 Charges Investment Adviser with Cybersecurity Violations

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Consumer Protection, Investment Advisers, Uncategorized The SEC recently commenced a settled enforcement action against an investment adviser, R.T. Jones Capital Equities Management, Inc., for cybersecurity matters.  Press reports indicate this is the first such case of its kind.  R.T. Jones did not admit or deny the SEC’s findings. These proceedings arose out of R.T. Jones’s failure to adopt written policies […] Read more →

by   |   September 23, 2015

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ISS Commences 2016 Proxy Voting Policy Survey

Executive Compensation, Public Companies and Securities, Uncategorized ISS has commenced its 2016 proxy voting policy survey. Some of the issues ISS seeks comment on include: Is it appropriate to use non-GAAP or adjusted GAAP metrics for compensation... Read more →

by   |   August 5, 2015

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SEC Seeking Comment on Possible Revisions to Audit Committee Disclosures

Public Companies and Securities, Uncategorized The SEC has issued a concept release to seek public comment regarding audit committee reporting requirements, with a focus on the audit committee’s reporting of its... Read more →

by   |   July 6, 2015

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MSRB Provides Guidance on Developing Supervision and Compliance Programs for Municipal Advisors

Municipal Advisors, Uncategorized Rule G-44 of the Municipal Securities Rulemaking Board, or MSRB, became effective on April 23, 2015. That Rule establishes the supervisory and compliance obligations of municipal... Read more →

by   |   June 17, 2015