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Ethan Mark Stinson Leonard Street LLP

Results 1 to 5 of 128

SEC finds loan to investment adviser’s CEO a conflict of interest *

USA - January 20 2015
Consulting Services Group, LLC, or CSG, was a registered investment adviser whose business included providing consulting services to public pension…

SEC provides guidance on key employee trusts under family office rule *

USA - December 29 2014
The SEC Division of Investment Management recently provided guidance on whether certain key employee trusts would qualify as family clients under the…

Volker rule compliance for private equity and hedge funds extended *

USA - December 19 2014
The Federal Reserve Board has acted under section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, commonly known as the Volcker…

NYSE to make late filings rule applicable to Form 10-Q and defective filings *

USA - December 13 2014
The NYSE proposes to amend its continued listing requirements in relation to the late filing of a company's annual report with the SEC as set forth…

NASDAQ proposes to stop automatic delisting for failure to hold annual meeting *

USA - November 21 2014
Under Current NASDAQ Rule 5810(c)(1), NASDAQ staff is required to issue a delisting determination, subjecting the company to immediate suspension and…

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