Stinson Leonard Street 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 »

Four Eye-Opening New C&DIs Issued by the SEC’s Division of Corporation Finance

Public Companies and Securities The SEC’s Division of Corporation Finance released four new compliance and disclosure interpretations (C&DIs) on November 17th addressing aspects of offerings under Regulation A and Regulation D.  The staff’s new interpretations clarify the requirements for post-qualification amendments to offering statements under Regulation A, extend the same accommodations available to EGCs under the... Read more →

by   |   November 17, 2016

SEC logo

SEC Staff Allows Exclusion of “Fix Proxy Access” Proposal under (i)(10)

Public Companies and Securities In a recently issued no-action letter, the staff of the SEC’s Division of Corporate Finance allowed a company to exclude a shareholder proposal seeking specific changes to... Read more →

by   |   November 11, 2016

The SEC’s Proposed Universal Proxy Rule: Beneficial to Shareholders or Tilting the Result toward Activist Investors?

Public Companies and Securities Under current law and practice, a shareholder of a public company that is asked to vote in a contested election of directors where a slate of directors had been proposed by the... Read more →

by and   |   October 28, 2016

SEC logo

New SEC Rules for Intrastate and Regional Securities Offerings

Crowdfunding, Public Companies and Securities The SEC has adopted final rules to modernize intrastate securities offerings under Rule 147, adopted new Rule 147A to broaden the availability of the existing safe harbor for... Read more →

by and   |   October 26, 2016