Stinson Leonard Street Dodd Frank

MAKING SENSE OF DODD-FRANK

The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Latest Dodd-Frank Posts

Regulators Approve Securitization Risk Retention Rule

US Capitol Building

Banking, Public Companies and Securities Six federal agencies approved a final rule requiring sponsors of securitization transactions to retain risk in those transactions.  The final rule implements the risk retention requirements in the Dodd-Frank Wall Street Reform and Consumer Protection Act. The final rule is being issued jointly by the Board of Governors of the Federal Reserve System, the Department […] Read more →

by   |   October 22, 2014

governance

ISS Proposes New Methodology For Evaluating Equity Plan Proposals

Employment, Public Companies and Securities A key component to evaluating whether to place an equity plan proposal in a proxy is whether or not ISS will support the plan.  Accoding to ISS, while it has historically... Read more →

by   |   October 20, 2014

governance

ISS Considering Changing Course on Independent Chair Shareholder Proposals

Public Companies and Securities ISS is requesting feedback on a change to its voting policy on independent chair shareholder proposals.  ISS’ current policy is to generally recommend for independent chair... Read more →

by   |   October 16, 2014

whistleblower

FINRA Reminds Anti-Whistleblower Provisions Are Not Permitted in Settlement Agreements

Broker-Dealer, Litigation FINRA has published a regulatory notice where it reminds firms that it is a violation of FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade) to include... Read more →

by   |   October 15, 2014