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Results: 1-10 of 18

FinCEN proposes extending anti-money laundering compliance requirements to investment advisors
  • Stinson Leonard Street LLP
  • USA
  • August 26 2015

Yesterday, the United States Department of Treasury's Financial Crimes Enforcement Network (FinCEN) proposed a rule that would require SEC-registered


EPA makes it official: greenhouse gases threaten public health and welfare
  • Stinson Leonard Street LLP
  • USA
  • December 11 2009

On December 7, 2009, the U.S. Environmental Protection Agency issued a final determination that officially declared six greenhouse gases are a threat to public health and welfare


More SEC color on current investment advisers issues
  • Stinson Leonard Street LLP
  • USA
  • February 17 2011

In keynote remarks given at the PLI Investment Management Institute last week, SEC Commissioner Elisse B. Walter reiterated her support for the “need to protect retail investors seeking investment advice by harmonizing the regulation of investment advisers and broker-dealers” and increased attention to the exam process


Dodd-Frank vs. reality
  • Stinson Leonard Street LLP
  • USA
  • January 3 2011

Last week the SEC "was persuaded" to extend the compliance date for Dodd-Frank Act's requirement that registered investment advisers provide their clients with brochure supplements written in plain English


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


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


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


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


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