We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



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


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


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


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


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


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


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 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


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