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 »

Dodd-Frank Investment Advisers

SEC Proposes Regulation Best Interest for Broker-Dealers

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Broker-Dealer, Investment Advisers The SEC has proposed two rules and an interpretation to address retail investor confusion about the relationships that they have with investment professionals and the harm that may result from that confusion. Confusion has resulted from differing standards applied to broker-dealers and investment advisers. As a result of the proposed rules, the SEC will consider […] Read more →

by   |   April 18, 2018

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SEC Invites Regulated Entities to Voluntarily Submit Self-Assessments of Diversity Policies and Practices

Broker-Dealer, Employment, Investment Advisers, Municipal Advisors, Private Equity The SEC Office of Minority and Women Inclusion, or OMWI, invited entities regulated by the SEC to submit a Diversity Assessment Report. Entities regulated by the SEC include... Read more →

by   |   January 25, 2018

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SEC Identifies Most Frequent Compliance Issues Associated with Advertising by Investment Advisers

Investment Advisers, Private Equity The SEC’s Office of Compliance Inspections and Examinations has provided a list of compliance issues relating to Rule 206(4)-1, which is referred to as the Advertising Rule,... Read more →

by   |   September 14, 2017

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SEC Charges Chief Compliance Officer for Failure to Verify Information

Investment Advisers, Litigation David I. Osunkwo was a principal at Strategic Consulting Advisors, LLC, or SC Consulting. SC Consulting offered compliance consulting and CCO services to two SEC registered... Read more →

by   |   August 16, 2017