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 Exam Priorities Include Newly Registered Hedge Fund and Private Equity Advisors

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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, broker-dealers, clearing agencies, exchanges and other self-regulatory organizations, hedge funds, private equity funds, and transfer agents. The staff will continue the 2012 initiative to examine a significant percentage of the... Read more →

by   |   January 11, 2014

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CFPB Issues Report to Congress

Consumer Protection, Uncategorized The CFPB has issued a report pursuant to Section 1017(e)(4) of the Dodd-Frank Act to the Committees on Appropriations of the United States Senate and House of Representatives. ... Read more →

by   |   January 5, 2014

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Summary of Proposed Amendments to Regulation A

Broker-Dealer, Private Equity, Public Companies and Securities On December 18, 2013, the SEC published its proposal to modify Regulation A.   The SEC is proposing to expand Regulation A into two tiers:  Tier 1, for offerings of up to $5... Read more →

by , and   |   December 30, 2013

Dodd-Frank Corporate Governance

Nasdaq Proposes Changes to Compensation Committee Independence Requirements

Executive Compensation, Public Companies and Securities, Uncategorized When implementing SEC Exchange Act Rule 10C-1 regarding the independence of compensation committee members, Nasdaq adopted a prohibition on the receipt of compensatory fees by... Read more →

by   |   December 2, 2013