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 Exam Priorities Include Newly Registered Hedge Fund and Private Equity Advisors

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Investment Advisers, Private Equity, Uncategorized The SEC has announced its examination priorities for 2014, which cover a wide range of issues at financial institutions, including investment advisers and investment companies, broker-dealers, clearing agencies, exchanges and other self-regulatory organizations, hedge funds, private equity funds, and transfer agents. The staff will continue the 2012 initiative to examine a significant percentage of the... Read more →

by   |   January 11, 2014

SEC Grants Second Rule 506 Bad Actor Waiver

Broker-Dealer, Investment Advisers, Private Equity, Public Companies and Securities On December 26, 2013, the SEC granted its second waiver from disqualification from reliance on Regulation D because of prohibited conduct under new Rule 506(d).   The waiver was... Read more →

by   |   January 11, 2014

SEC Issues Interpretive Guidance on Municipal Advisor Registration Rules

Municipal Advisors The SEC Office of Municipal Securities has issued interpretive guidance to address questions from market participants regarding the implementation of new final SEC rules requiring... Read more →

by   |   January 10, 2014

Hopes Are Up For Invalidation of the Conflict Minerals Rules

Public Companies and Securities We have explained that the District Court upheld the SEC’s conflict minerals rules.  Recently, oral argument on the appeal was heard by the U.S. Court of Appeals for the... Read more →

by   |   January 8, 2014