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 Member Disputes Audit Firms’ Tales

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Public Companies and Securities, Uncategorized Jeanette M. Franzel, PCAOB Board Member, recently gave her views on the PCAOB’s requirements.  Ms. Franzel noted the PCAOB has heard that in response to some recent changes, some issuers have expressed concerns about the value of additional audit work in the internal control over financial reporting, or ICFR, area, and whether there will be […] Read more →

by   |   April 1, 2014

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Reg 506(b) Offerings Continue to Dominate Regulation D Practice

Private Equity, Public Companies and Securities, Uncategorized A recent study by Crowdnetic indicates Regulation D offerings under Rule 506(b) without general solicitation continue to dominate over Rule 506(c) offerings with general... Read more →

by   |   March 9, 2014

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... 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