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 Targets Lapses in Ownership Reporting in Battles for Corporate Control

SEC logo

Litigation, M&A, Public Companies and Securities The SEC has recently announced settlement of enforcement actions targeting violations of beneficial reporting requirements under Section 13(d) of the Act. In one of the most recent actions (available here), the SEC’s Enforcement Staff brought proceedings against certain shareholder activists and their affiliate for failing to properly disclose beneficial ownership information during a series of... Read more →

by   |   February 14, 2017

SEC Approves T+2 settlement; Abides by T+4 settlement for Firm Commitment Deals

Broker-Dealer, Public Companies and Securities On February 10th, the SEC took action to formally approve of changes proposed by the NASDAQ Stock Market, NYSE MKT LLC, and New York Stock Exchange LLC’s, to shorten the... Read more →

by   |   February 14, 2017

NJ Supreme Court Clarifies Standard for Member Expulsion under LLC Act

Private Equity, Uncategorized One of the features of the Revised Uniform Limited Liability Company Act (RULLCA) that has been adopted in Minnesota and many other states is that it allows for an LLC to expel a... Read more →

by   |   February 14, 2017

OCIE Issues Alert on the Five Most Frequent Compliance Topics Identified in Examinations of Investment Advisers

Investment Advisers, Private Equity The SEC’s Office of Compliance Inspections and Examinations, or OCIE, has published a list of the five compliance topics most frequently identified in deficiency letters... Read more →

by   |   February 8, 2017