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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 »

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Steve Quinlivan

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Posts from Steve Quinlivan

ISS Proposes New Methodology For Evaluating Equity Plan Proposals

governance

Employment, Public Companies and Securities A key component to evaluating whether to place an equity plan proposal in a proxy is whether or not ISS will support the plan.  Accoding to ISS, while it has historically recommended against approximately 30 percent of equity plan proposals each year under existing policy (ranging from 30 percent to 42 percent during the period […] Read more →

by   |   October 20, 2014

governance

ISS Considering Changing Course on Independent Chair Shareholder Proposals

Public Companies and Securities ISS is requesting feedback on a change to its voting policy on independent chair shareholder proposals.  ISS’ current policy is to generally recommend for independent chair... Read more →

by   |   October 16, 2014

whistleblower

FINRA Reminds Anti-Whistleblower Provisions Are Not Permitted in Settlement Agreements

Broker-Dealer, Litigation FINRA has published a regulatory notice where it reminds firms that it is a violation of FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade) to include... Read more →

by   |   October 15, 2014

CFPB logo

CFPB Considering Issuing No-Action Letters

Banking, Consumer Protection The CFPB has issued a proposed policy where it would issue no-action letters in limited circumstances.  The proposed policy is designed for new financial products or services... Read more →

by   |   October 13, 2014