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 »

PCAOB Adopts Standards for Broker-Dealer Audits

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Broker-Dealer, Uncategorized The Public Company Accounting Oversight Board, or PCAOB, adopted two attestation standards pertaining to audits of brokers and dealers. The PCAOB also adopted an auditing standard applicable when auditors are engaged to perform audit procedures and report on supplemental information that broker-dealers and others file with the SEC. Finally, the Board adopted related amendments to […] Read more →

by   |   October 12, 2013

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SEC Enforcement Doubts Accounting Fraud Has Dropped and What It Is Doing About It

Litigation, Public Companies and Securities, Uncategorized Andrew Ceresney, SEC Co-Director of the Division of Enforcement, recently gave a talk on financial reporting and accounting fraud.  Mr. Ceresney reviewed statistics showing... Read more →

by   |   October 1, 2013

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Mary Jo White on Criteria for Seeking Admissions of Wrongdoing and Enforcement Priorities

Litigation, Public Companies and Securities, Uncategorized In a recent speech, SEC Chair Mary Jo White spoke to the types of cases where admissions of wrongdoing might be appropriate.  According to Chair White, candidates potentially... Read more →

by   |   September 26, 2013

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Group Identifies Conflict Minerals Report Expectations

Public Companies and Securities, Uncategorized The Responsible Sourcing Network has released a paper, the goal of which is to describe the content that certain sustainable and responsible investors, or SRIs, and... Read more →

by   |   September 8, 2013