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 »

Latest Dodd-Frank Posts

SEC Commissioner Says JOBS Act Merits Increased Scrutiny of Transfer Agents

Broker-Dealer, Public Companies and Securities, Uncategorized Commissioner Luis A. Aguilar recently gave a speech in which he stated the JOBS Act will require increased scrutiny of transfer agents because of the gatekeeping function that transfer agents perform.  In his speech, Commissioner Aguilar noted: •           Regulation A, general solicitation under Regulation D and the crowdfunding exemption will increase the amount of securities […] Read more →

by   |   February 21, 2014

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SEC Chair Mary Jo White Says Disclosure Reform Is Next For Corporation Finance

Public Companies and Securities SEC Chair Mary Jo White recently gave a speech where she discussed the SEC’s recent progress and initiatives.   For Corporation Finance she said “What is next? This year,... Read more →

by   |   February 21, 2014

Never-Before Examined Registered Investment Advisers Targeted by SEC

Investment Advisers, Private Equity The Securities and Exchange Commission has announced that its Office of Compliance Inspections and Examinations, or OCIE, is launching an initiative directed at investment... Read more →

by   |   February 20, 2014

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SEC Says Registration as an Investment Adviser Not Necessary for 100% Owned Corporate Groups

Investment Advisers, Private Equity, Uncategorized The SEC staff recently issued a no-action letter stating that registration as an investment adviser was not necessary when (i) asset management services are provided only to... Read more →

by   |   February 18, 2014