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 Commissioner Says JOBS Act Merits Increased Scrutiny of Transfer Agents

Broker-Dealer, Public Companies and Securities, Uncategorized Commissioner Luis A. Aguilar recently gave a speech in which he stated the JOBS Act will require increased scrutiny of transfer agents because of the gatekeeping function that transfer agents perform.  In his speech, Commissioner Aguilar noted: •           Regulation A, general solicitation under Regulation D and the crowdfunding exemption will increase the amount of securities […] Read more →

by   |   February 21, 2014

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

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... 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