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 »

SEC Approves NYSE Rule Change to Facilitate Listing Without an IPO

Public Companies and Securities The SEC has approved a rule change to the NYSE listing standards to facilitate the listing of an issuer without conduction an IPO. According to the NYSE, the rule change is necessary to compete for listings that might otherwise by listed on NASDAQ. As revised, the NYSE will, on a case by case basis, exercise […] Read more →

by   |   February 3, 2018

Drafting 10-K Disclosures for the Tax Cuts and Jobs Act

Public Companies and Securities Public companies with fiscal quarters ended December 31, 2017, but not fiscal year ends, are beginning to make disclosures showing the effects of the Tax Cuts and Jobs Act in... Read more →

by   |   January 25, 2018

SEC logo

SEC Invites Regulated Entities to Voluntarily Submit Self-Assessments of Diversity Policies and Practices

Broker-Dealer, Employment, Investment Advisers, Municipal Advisors, Private Equity The SEC Office of Minority and Women Inclusion, or OMWI, invited entities regulated by the SEC to submit a Diversity Assessment Report. Entities regulated by the SEC include... Read more →

by   |   January 25, 2018

Stacks of Coins

SEC Chair Clayton Warns Lawyers on Initial Coin Offerings

Blockchain Technology, Public Companies and Securities SEC Chair Clayton delivered the following remarks at a conference of securities professionals: “My first message is simple and a bit stern. Market professionals, especially... Read more →

by   |   January 22, 2018