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 »

D&O Questionnaire Update Forms for 2014

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Public Companies and Securities The SEC has adopted rules prohibiting “bad actors” from using Rule 506 after September 23, 2013 (the effective date of the rules), or if prohibited conduct occurred prior to the effective date of the rules, the prohibition will not apply if disclosure of the past prohibited conduct is made to investors a reasonable amount of […] Read more →

by , , and   |   December 1, 2013

The Meaning of “DRC Conflict Undeterminable”

Public Companies and Securities, Uncategorized Some issuers who are required to progress far enough down the conflict minerals decision tree may be unable, after performing due diligence, to determine whether conflict minerals... Read more →

by   |   November 22, 2013

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Preventing Exchange Act Reporting Obligations After the JOBS Act

Private Equity, Public Companies and Securities, Uncategorized In General Growing companies need to be aware of the requirements of Section 12(g) of the Exchange Act.  If the thresholds of Section 12(g) are crossed, which look principally to... Read more →

by   |   November 17, 2013

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Hedge Fund Administrator Enters Into First Individual Deferred Prosecution Agreement with SEC

Investment Advisers, Litigation, Private Equity, Uncategorized The SEC announced a deferred prosecution agreement, or DPA, with a former hedge fund administrator who helped the agency take action against a hedge fund manager who allegedly... Read more →

by   |   November 12, 2013