Stinson Leonard Street 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 Invites Regulated Entities to Voluntarily Submit Self-Assessments of Diversity Policies and Practices

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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 broker-dealers, investment advisers, investment companies (mutual funds), transfer agents, municipal advisors, private fund advisers, clearing agencies, nationally recognized statistical rating organizations, national securities... Read more →

by   |   January 25, 2018

SEC Charges Platinum Equity for Misallocation of Broken Deal Expenses

M&A, Private Equity The SEC announced a settled action against Beverly Hills-based investment adviser, Platinum Equity Advisors, LLC, for charging three of its private equity fund clients with about... Read more →

by   |   September 21, 2017

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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

A Working Capital True Up is not an End Run on a Liability Bar

M&A, Private Equity In Chicago Bridge & Iron Co. N.V. v. Westinghouse Electric Co. LLC, the Delaware Supreme Court examined the interaction between a working capital true up and alleged breaches... Read more →

by   |   June 27, 2017