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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 »

AICPA Describes Audit Procedures for Conflict Minerals Audit

conflict minerals

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.  (Note that AICPA’s guidance is only applicable to Attestation Engagements under the GAO Government Auditing Standard. Issuers may elect to have their IPSA conducted as either (1) an attestation engagement performed […] Read more →

by   |   January 18, 2014

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SEC Exam Priorities Include Newly Registered Hedge Fund and Private Equity Advisors

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,... 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