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 M&A

SEC Charges Private Equity Advisor with Conflicts for Law Firm Discounts

Investment Advisers, M&A, Private Equity In a settled enforcement action, the SEC charged a private equity advisor, First Reserve Management, L.P., with conflicts of interest and other matters. First Reserve did not admit or deny the SEC’s findings. The SEC noted First Reserve negotiated a legal fee discount from a law firm for itself for certain services based on the […] Read more →

by   |   September 15, 2016

SEC Busts Apollo for Disclosure and Supervisory Failures

Investment Advisers, Litigation, M&A, Private Equity The SEC charged four private equity fund advisers affiliated with Apollo Global Management for misleading fund investors about fees and a loan agreement and failing to supervise a... Read more →

by   |   August 23, 2016

FINRA Relaxes Rules for M&A and Private Placement Brokers

M&A The SEC has approved a series of FINRA rules that are meant to simplify regulation of firms engaged as M&A brokers and those who conduct other limited activities. While the... Read more →

by   |   August 19, 2016

SEC Clarifies Relationship between HSR Investment Intent and 13D/G Status

M&A The SEC has issued a new Compliance and Disclosure Interpretation (8-K 103.11) that clarifies the interaction between the investment intent exemption in the HSR rules and the... Read more →

by   |   July 14, 2016