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

SEC Concept Release Explores Bold Changes to Employee Offerings Framework

Executive Compensation, Public Companies and Securities At an open meeting on July 18th, the SEC agreed to issue a concept release exploring modifications and modernization of Rule 701 and Form S-8 for certain offerings for employees, in conjunction with its increase to the threshold for expanded disclosure required under Rule 701(e) as mandated by Congress. Rule 701 and Form S-8 are alternating […] Read more →

by   |   July 19, 2018

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SEC Raises Threshold for Additional Disclosures Under Rule 701

Executive Compensation, Public Companies and Securities Rule 701 under the Securities Act of 1933 provides an exemption from registration for securities issued by non-reporting companies pursuant to compensatory arrangements. The... Read more →

by   |   July 18, 2018

House Passes JOBS and Investor Confidence Act of 2018

Broker-Dealer, Investment Advisers, M&A, Public Companies and Securities The United States House of Representatives passed the bipartisan JOBS and Investor Confidence Act of 2018, which is often referred to as JOBS Act 3.0. The bill is comprised of 32... Read more →

by   |   July 17, 2018

SEC Charges Hedge Fund with 13D Violation

Investment Advisers, Litigation, Private Equity, Public Companies and Securities The SEC charged a hedge fund sponsor that manages private funds and separately managed accounts focused on global distressed, special situations, and opportunistic investing with... Read more →

by   |   July 16, 2018