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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 »


Conflict Minerals: SEC Position on Non-Metallic Forms of Tin

conflict minerals

Public Companies and Securities, Uncategorized Shortly before the filing deadline for the first conflict minerals filings on Form SD, it became known that the SEC believed non-metallic forms of tin are not conflict minerals because non-metallic forms of tin are “chemically distinct from the metal derivatives themselves.” Documentation of the SEC position has been scant. However, a letter outlining the […] Read more →

by   |   July 15, 2014

conflict minerals

AICPA Provides Forms of Auditor’s Opinions for Conflict Minerals Reports

Public Companies and Securities The AICPA has provided illustrative forms of audit opinions for conflict minerals reports.  The guidance also notes that a practitioner may report, for either of the two audit... Read more →

by   |   March 22, 2014


SEC Removes References to NRSRO Ratings in Certain Rules and Forms

Public Companies and Securities The SEC has adopted amendments (here and here) to eliminate references in certain of its rules and forms to credit ratings by nationally recognized statistical rating... Read more →

by   |   January 4, 2014

Question mark

D&O Questionnaire Update Forms for 2014

Public Companies and Securities The SEC has adopted rules prohibiting “bad actors” from using Rule 506 after September 23, 2013 (the effective date of the rules), or if prohibited conduct occurred prior to... Read more →

by , , and   |   December 1, 2013