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 »

MSRB Provides Guidance on Developing Supervision and Compliance Programs for Municipal Advisors

Municipal Advisors, Uncategorized Rule G-44 of the Municipal Securities Rulemaking Board, or MSRB, became effective on April 23, 2015. That Rule establishes the supervisory and compliance obligations of municipal advisors. The MSRB has provided an educational document designed to support municipal advisors’ development of effective policies and procedures for supervision and compliance, particularly for municipal advisors that are... Read more →

by   |   June 17, 2015

Obligations Under Earn-Outs Are Limited to What the Words Say

Litigation, M&A, Private Equity, Uncategorized The stockholders of Cyveillance, Inc., sold their company for $40 million up-front and a $40 million earn-out if the company’s revenues reached a certain level. Section 5.4 of... Read more →

by   |   April 26, 2015

MSRB Moves Foward Professional Qualification Standards For Municipal Advisors

Municipal Advisors, Uncategorized The Municipal Securities Rulemaking Board, or MSRB, has received approval from the SEC to create baseline standards of professional qualification for municipal advisors. The new... Read more →

by   |   March 2, 2015

NYSE Proposes to Clarify Proxy Solicitation Mechanics

Public Companies and Securities, Uncategorized The NYSE proposes to amend Section 402.05 of the Listed Company Manual to clarify that listed companies soliciting proxy material through brokers or other entities must comply... Read more →

by   |   February 14, 2015