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 »

Congress and Industry Want Resource Extraction Rules Finalized

Energy, Public Companies and Securities, Uncategorized In 2013 the United States District Court for the District of Columbia vacated the SEC resource extraction disclosure rules that were mandated by Section 1504 of the Dodd-Frank Act. Fifty-eight Democratic lawmakers have recently sent a letter to SEC Chair Mary Jo White asking that the resource extraction rules be finalized “on a faster, more […] Read more →

by   |   June 14, 2014

Shareholder Lawsuit About Compensation Plan Derails Annual Meeting

Executive Compensation, Litigation, Public Companies and Securities, Uncategorized An SEC registrant recently announced it had delayed its annual meeting from June 12, 2014 to September 11, 2014 because of this lawsuit. What’s the lawsuit about? Plaintiffs... Read more →

by   |   June 6, 2014

private equity

SEC Discusses Troubling Private Equity Practices

Investment Advisers, Private Equity, Uncategorized Andrew J. Bowden, Director, SEC Office of Compliance Inspections and Examinations, gave a talk where he discussed troubling practices identified in examinations of private equity... Read more →

by   |   May 10, 2014

accountant2

SEC Reminds Investment Advisers to Review Compliance Policies Annually

Investment Advisers, Uncategorized Norm Champ, Director, SEC Division of Investment Management, recently gave a speech where he reminded investment advisers to review compliance policies annually as required by SEC... Read more →

by   |   May 4, 2014