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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 »

Bryan Pitko

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Posts from Bryan Pitko

SEC Issues Additional Guidance on Voluntary Confidential Submissions for All Issuers

Public Companies and Securities As previously reported here, on June 29, 2017, the Division of Corporation Finance announced that it would accept draft registration statements from all issuers for nonpublic review. The Division’s initial announcement noted that the newly available nonpublic review for issuers outside of Emerging Growth Companies (EGCs) and foreign private issuers would be limited to the […] Read more →

by   |   July 3, 2017

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SEC Confirms Sales of NFL Fan Memberships Fall Outside of Securities Act

Uncategorized In a no-action letter issued earlier this week, the Staff of the Division of Corporation Finance granted relief to LA Fan Club, “a fan club for loyal fans of the Rams football... Read more →

by   |   June 30, 2017

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SEC Targets Lapses in Ownership Reporting in Battles for Corporate Control

Litigation, M&A, Public Companies and Securities The SEC has recently announced settlement of enforcement actions targeting violations of beneficial reporting requirements under Section 13(d) of the Act. In one of the most... Read more →

by   |   February 14, 2017

SEC Approves T+2 settlement; Abides by T+4 settlement for Firm Commitment Deals

Broker-Dealer, Public Companies and Securities On February 10th, the SEC took action to formally approve of changes proposed by the NASDAQ Stock Market, NYSE MKT LLC, and New York Stock Exchange LLC’s, to shorten the... Read more →

by   |   February 14, 2017