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 Reports on Use of Form PF Data

private equity

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 staff generally reviews information contained in the Form PF filing for inconsistencies with other information obtained from an adviser during an examination, such as due diligence reports, […] 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

SEC logo

New C&DIs on Verification of Accredited Investor Status

Broker-Dealer, Investment Advisers, Private Equity, Public Companies and Securities On July 3, 2014, the SEC released six new Compliance and Disclosure Interpretations relating to verification of prospective investors as accredited investors for purposes of Rule... Read more →

by   |   July 5, 2014