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Results: 1-10 of 17

Will whistleblower claims give rise to more SEC enforcement actions?
  • Stinson Leonard Street LLP
  • USA
  • December 9 2010

The Dodd-Frank Act's whistleblower protection provisions will go into effect no later than nine months after July 22, 2010


FINRA ups the retail customer disclosure ante
  • Stinson Leonard Street LLP
  • USA
  • October 28 2010

The Dodd-Frank Act clearly emphasized the need to clarify the ongoing confusion, especially in the eyes of the retail investing public, of the distinctions between broker-dealers and investment advisers


Some ruminations on the JOBS Act’s Regulation D provisions
  • Stinson Leonard Street LLP
  • USA
  • March 29 2012

The Dodd-Frank Act was overarching, cumbersome and, from its inception, has created much ongoing regulatory uncertainty


Dodd-Frank And investment advisors
  • Stinson Leonard Street LLP
  • USA
  • July 28 2010

The Dodd-Frank Wall Street Reform and Consumer Protection Act contains several provisions that will have a significant impact on investment advisors and removes some key exemptions from the requirement to register as an investment advisor


Advance notice of rule making on use of credit ratings
  • Stinson Leonard Street LLP
  • USA
  • August 13 2010

The Office of the Comptroller of the Currency, Board of Governors of the Federal Reserve System, and the Federal Deposit Insurance Corporation, issued an advance notice of rule making regarding alternatives to the use of credit ratings in the regulatory capital guidelines


FDIC announces open door policy for regulatory reform rulemaking
  • Stinson Leonard Street LLP
  • USA
  • August 14 2010

The Federal Deposit Insurance Corporation on August 12, 2010 announced an open door policy that will make it easier for the public to give input and track the rulemaking process as the agency implements the Dodd-Frank Wall Street Reform and Consumer Protection Act


Comments on SEC study regarding obligations of brokers, dealers, and investment advisers
  • Stinson Leonard Street LLP
  • USA
  • August 25 2010

In a recent posting we highlighted issues surrounding the imposition of a fiduciary standard on broker-dealers


SEC soon not to be free to keep certain information confidential
  • Stinson Leonard Street LLP
  • USA
  • September 27 2010

One of the more controversial provisions of the Dodd-Frank Act allows information gathered by the SEC in its examination and investigation of those entities it regulates to not be subject to disclosure under the Freedom of Information Act


FINRA to SEC: “no need to reinvent the wheel”
  • Stinson Leonard Street LLP
  • USA
  • November 11 2010

Not surprisingly, FINRA strongly supports the creation of a new self-regulatory organization to enhance the frequency of examinations of investment advisers - one based on the structure FINRA uses to regulate broker-dealers


Sarbanes-Oxley prevents indemnification for clawback claims - Dodd-Frank implications
  • Stinson Leonard Street LLP
  • USA
  • October 8 2010

Sarbanes-Oxley requires executives to reimburse their public company employers for bonuses and profits realized from the sale of company stock for the 12 month period following the filing of a false financial report that requires a financial statement restatement