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 Private Equity

SEC Examinations of Newly Registered Private Fund Advisers Wind Down

accountant2

Investment Advisers, Private Equity In testimony before Congress, SEC Chair Mary Jo White noted that she anticipates SEC staff will conclude a two-year initiative to conduct focused, risk-based exams of newly registered private fund advisers in October 2014.  “Private fund advisers,” in general terms, is SEC lexicon for hedge fund and private equity advisors. Also, in SEC lexicon, the […] Read more →

by   |   September 11, 2014

private equity

SEC Reports on Use of Form PF Data

Investment Advisers, Private Equity The SEC has issued its annual report on use of Form PF data. In its  examination and enforcement programs regarding registered investment advisers that manage private funds, the... Read more →

by   |   August 18, 2014

private equity

SEC Provides Guidance to Private Equity on Seller Escrows

Investment Advisers, Private Equity The SEC has issued guidance to registered private equity advisers regarding escrow arrangements resulting from the sale of a portfolio company.  The guidance revolves around a... Read more →

by   |   July 10, 2014

NASAA

Electronic Blue Sky Filings: NASAA Proposes Model State Rules

Investment Advisers, Private Equity, Public Companies and Securities The North American Securities Administrators Association, Inc. (NASAA) has released model rules relating to the use of its Electronic Filing Depository (EFD) system for Form D and... Read more →

by   |   July 9, 2014