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 Permits Investment Adviser to Submit Shareholder Proposal on Behalf of Client

Investment Advisers, Public Companies and Securities The SEC recently denied no-action relief to a request by Baker Hughes Incorporated to exclude a Rule 14a-8 shareholder proposal submitted by Newground Social Investment, SPC, a registered investment adviser, on behalf of an advisory client. The advisory client and proponent making the proposal was the Equality Network Foundation. The proposal submitted by Newground did […] Read more →

by   |   March 11, 2016

Three Bills Proposing Amendments to the Federal Securities Laws Gain Traction in Congress

Broker-Dealer, Investment Advisers, Private Equity, Public Companies and Securities The U.S. House of Representatives passed three bills on February 1, 2016 that propose changes to the federal securities laws, including the Securities Act of 1933 (’33 Act) and... Read more →

by   |   February 3, 2016

SEC 2016 Examination Priorities for Private Equity and Hedge Funds

Investment Advisers, Private Equity The SEC Office of Compliance Inspections and Examinations, or OCIE, has published its list of 2016 examination priorities. Matters of interest for private equity and hedge fund... Read more →

by   |   January 14, 2016

SEC Warns on Outsourced Chief Compliance Officers

Investment Advisers, Private Equity The SEC’s Office of Compliance Inspections and Examinations, or OCIE, recently issued a risk alert titled “Examinations of Advisers and Funds That Outsource Their... Read more →

by   |   November 30, 2015