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Results: 1-10 of 18

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


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


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


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


Recent SEC actions on broker voting, executive stock options, compensation and corporate governance and shareholder access to proxy statements
  • Stinson Leonard Street LLP
  • USA
  • July 10 2009

The Securities and Exchange Commission (SEC) recently approved a New York Stock Exchange (NYSE) proposal to eliminate broker discretionary voting for directors and a Chicago Board Options Exchange proposal related to stock options


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


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


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