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 »

Preventing Exchange Act Reporting Obligations After the JOBS Act

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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 the number of shareholders, the company must generally begin filing the same reports under the Securities Exchange Act of 1934 as any company listed on […] 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

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Court Finds Dodd-Frank Does Not Apply to Foreign Whistleblowers

Employment, Litigation, Public Companies and Securities, Uncategorized The United States District Court for the Southern District of New York recently dismissed a case with prejudice by an employee whistleblower that lived in Taiwan.  The court... Read more →

by   |   October 27, 2013

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PCAOB Adopts Standards for Broker-Dealer Audits

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... Read more →

by   |   October 12, 2013