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

Two Recent Say-on-Pay Decisions

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Employment, Executive Compensation, Litigation, Public Companies and Securities Courts have recently rendered two say-on-pay decisions.  The first is Gordon v. Symantec Corporation.  The recent decision follows on the heels of an earlier dismissal.  The plaintiff then filed an amended complaint.  In the amended complaint, plaintiff claimed the proxy was materially misleading because it failed to provide  a fair summary of the advice, counsel […] Read more →

by   |   August 11, 2013

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SEC Updated Form PF FAQs

Investment Advisers, Private Equity, Uncategorized The SEC has updated its frequently asked questions on Form PF.  The updates include: General filing information: Questions A.7 through A.9 on rounding, amendments to Form ADV on... Read more →

by   |   August 11, 2013

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SEC Provides Guidance on Custody of Privately Offered Securities

Investment Advisers, Private Equity The SEC’s Division of Investment Management recently offered guidance on the custody of privately offered securities.  The SEC noted that although a security evidenced by a... Read more →

by   |   August 7, 2013

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SEC Staff Report Relating to the Use of Data Collected from Form PF

Investment Advisers, Private Equity, Uncategorized The Dodd-Frank Act provided the SEC with new authority, and directed it to use this authority to require registered investment advisers to maintain records and file reports... Read more →

by   |   August 1, 2013