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 »

OCIE Issues Alert on the Five Most Frequent Compliance Topics Identified in Examinations of Investment Advisers

Investment Advisers, Private Equity The SEC’s Office of Compliance Inspections and Examinations, or OCIE, has published a list of the five compliance topics most frequently identified in deficiency letters that are sent to SEC-registered investment advisers. Within each of these topics, OCIE includes a few examples of typical deficiencies to highlight the risks and issues that examiners commonly identify. […] Read more →

by   |   February 8, 2017

Trump’s 2 for 1 Regulatory Reduction Challenged in Court

Litigation, Trump President Donald Trump’s Executive Order requiring two regulations be repealed for every new one adopted and related OMB guidance have been challenged in a law suit... Read more →

by   |   February 8, 2017

SEC to Reconsider Implementation of Pay Ratio Rule

Employment, Executive Compensation, Public Companies and Securities Following on the heels of its announcement to reconsider implementation of the conflict minerals rule, SEC Acting Chairman Michael S. Piwowar has announced his intention to... Read more →

by   |   February 6, 2017

OMB Provides Guidance on Trump’s 2 for 1 Regulatory Cuts

Trump OMB’s Office of Information and Regulatory Affairs has provided interim guidance on the requirements in Section 2, “Regulatory Cap for Fiscal Year 2017,” of the... Read more →

by   |   February 6, 2017