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 »

Nasdaq Proposes Changes to Compensation Committee Independence Requirements

Dodd-Frank Corporate Governance

Executive Compensation, Public Companies and Securities, Uncategorized When implementing SEC Exchange Act Rule 10C-1 regarding the independence of compensation committee members, Nasdaq adopted a prohibition on the receipt of compensatory fees by compensation committee members, which is the same standard applicable to audit committee members under Nasdaq’s listing rules and Rule 10A-3 under the Exchange Act. Over the past few months, however, […] Read more →

by   |   December 2, 2013

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D&O Questionnaire Update Forms for 2014

Public Companies and Securities The SEC has adopted rules prohibiting “bad actors” from using Rule 506 after September 23, 2013 (the effective date of the rules), or if prohibited conduct occurred prior to... Read more →

by , , and   |   December 1, 2013

The Meaning of “DRC Conflict Undeterminable”

Public Companies and Securities, Uncategorized Some issuers who are required to progress far enough down the conflict minerals decision tree may be unable, after performing due diligence, to determine whether conflict minerals... Read more →

by   |   November 22, 2013

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Preventing Exchange Act Reporting Obligations After the JOBS Act

Private Equity, Public Companies and Securities, Uncategorized In General Growing companies need to be aware of the requirements of Section 12(g) of the Exchange Act.  If the thresholds of Section 12(g) are crossed, which look principally to... Read more →

by   |   November 17, 2013