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

IG Evaluates SEC’s Disclosure Review and Comment Process

Public Companies and Securities The Office of the Inspector General has issued an evaluation of the Division of Corporation Finance’s disclosure review and comment process. The report begins with a description of the Division’s comment process. Perhaps the most interesting part is the report notes that the Division is developing a new system to improve and streamline certain aspects […] Read more →

by   |   September 15, 2017

SEC logo

SEC Identifies Most Frequent Compliance Issues Associated with Advertising by Investment Advisers

Investment Advisers, Private Equity The SEC’s Office of Compliance Inspections and Examinations has provided a list of compliance issues relating to Rule 206(4)-1, which is referred to as the Advertising Rule,... Read more →

by   |   September 14, 2017

MSRB Warns Municipalities, Underwriters and Municipal Advisors about Selective Disclosure

Municipal Advisors Regulation FD prohibits public companies from disclosing material nonpublic information to designated classes of persons such as securities professionals and holders of the... Read more →

by   |   September 13, 2017

Stacks of Coins

SEC Chief Accountant Speaks to Financial Statement Requirements for Initial Coin Offerings

Blockchain Technology, Public Companies and Securities SEC Chief Accountant Wesley R. Bricker recently gave remarks at the AICPA National Conference on Banks & Savings Institutions. Mr. Bricker spoke to the adoption of... Read more →

by   |   September 11, 2017