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 Proposes Rules for Private Fund Adviser Exemption

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Investment Advisers, Private Equity The Dodd-Frank Act repealed the “private adviser exemption” contained in section 203(b)(3) of the Investment Advisers Act on which advisers to many private equity and hedge funds had relied in order to avoid registration under the Investment  Advisers Act.  Section 408 of the Dodd-Frank Act, which added new section 203(m) of the Investment Advisers Act, […] Read more →

by   |   November 20, 2010

Paperwork Galore: SEC Proposes Rules Requiring Public Reporting by Exempt Investment Advisers

Investment Advisers, Private Equity The SEC has proposed rules (Release No. IA-3110) requiring public reporting by exempt investment advisers.  The proposed reporting requirements for exempt investment advisers,... Read more →

by   |   November 20, 2010

ISS to Recommend Annual Say-On-Pay Votes and Shifts Course on Director Attendance

Executive Compensation, Public Companies and Securities ISS has issued its 2011 Corporate Governance Policy Update.  As expected, it will recommend voting for an annual say-on-pay vote and the update addresses other matters of... Read more →

by   |   November 19, 2010

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SEC Proposes Rules on Security-Based Swap Reporting

Derivatives The SEC has proposed new rules entailing how security-based swap transactions should be reported and publicly disseminated. The rules are proposed under Title VII of the... Read more →

by   |   November 19, 2010