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 »

Corp Fin Issues Three New and Revised Interpretations of the Securities Act Rules

Public Companies and Securities On October 19th, the Division of Corporation Finance released three new and revised Compliance and Disclosure Interpretations (C&DIs) concerning the Securities Act. Revised C&DI 271.04 and new C&DI 271.21 relate to exempt offerings and sales of securities under Rule 701 of the Securities Act while revised C&DI 532.06 relates to the holding period for securities issued […] Read more →

by   |   October 20, 2016

SEC’s Proposed Rules for Expedited Settlement May Impact Long-Standing Exception for Firm Commitment Offerings

Broker-Dealer, Public Companies and Securities The SEC has agreed to propose rules that would shorten the standard settlement cycle for most broker-dealer transactions from three business days after the trade date (also known... Read more →

by   |   September 29, 2016

Preliminary Planning for the 2017 Proxy Season

Public Companies and Securities For those who want to start preparing for the 2017 proxy season, our preliminary list of important considerations is set forth below: Directors’ and Officer’s... Read more →

by and   |   August 31, 2016

Recent SEC Enforcement Actions Prompt Consideration of Whistleblower Carve-outs

Employment, Litigation, Public Companies and Securities The recent settlement of SEC enforcement actions concerning the Dodd Frank Act’s whistleblower provisions are prompting companies and their counsels to evaluate current and... Read more →

by   |   August 30, 2016