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 »

Summary of Proposed Amendments to Regulation A

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Broker-Dealer, Private Equity, Public Companies and Securities On December 18, 2013, the SEC published its proposal to modify Regulation A.   The SEC is proposing to expand Regulation A into two tiers:  Tier 1, for offerings of up to $5 million; and Tier 2, for offerings of up to $50 million.  The proposed rules also seek to modernize the Regulation A filing process […] Read more →

by , and   |   December 30, 2013

Dodd-Frank Corporate Governance

Nasdaq Proposes Changes to Compensation Committee Independence Requirements

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... 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