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 »

The SEC Amends Form 10-K

Public Companies and Securities Earlier today, the SEC issued an interim final rule amending Form 10-K pursuant to section 72001 of the FAST Act.  That section required the SEC to allow issuers to include summary sections in their annual reports on Form 10-K as long as each summary item included a cross-reference (electronic or otherwise) to the complete discussion […] Read more →

by   |   June 1, 2016

NASAA Requests Comments on Proposed Policy Allowing Use of Electronic Offering Documents and Electronic Signatures

Broker-Dealer, Public Companies and Securities On May 2, 2016 the North American Securities Administrators Association (NASAA) issued a release requesting public comments on a proposed Statement of Policy (SOP) that would... Read more →

by   |   May 6, 2016

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SEC Finalizes Rules Implementing JOBS Act and FAST Act Provisions Concerning Exchange Act Registration Thresholds

Public Companies and Securities On May 3, 2016, the SEC adopted final rules regarding reporting obligation thresholds under the Securities Exchange Act of 1934 mandated by the JOBS Act and the securities... Read more →

by   |   May 3, 2016

US Capitol Building

Fair Access to Investment Research Act of 2016 Passes Muster in U.S. House of Representatives

Broker-Dealer, Public Companies and Securities On April 28, 2016, the U.S. House of Representative passed the Fair Access to Investment Research Act of 2016 (H.R. 5019) by a vote of 411 to 6. This bill directs the SEC to amend... Read more →

by   |   May 2, 2016