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 »

Preliminary Planning for the 2018 Proxy Season

Public Companies and Securities For those who want to start preparing for the 2018 proxy season, our preliminary list of important considerations is set forth below: Directors’ and Officers’ Questionnaires We are not aware of any regulatory changes that would require directors’ and officers’ questionnaires to be updated. Say-on-Pay Frequency Vote Rule 14a-21(b) requires a say-on-pay frequency vote every […] Read more →

by , , and   |   August 29, 2017

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... 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