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 »

Schapiro on Security-Based Swaps

US Capitol Building

Banking, Public Companies and Securities SEC Chair Mary Schapiro gave her thoughts on some of the implications of the Dodd-Frank Act for security based swaps in remarks given to the Security Traders Association.  Ms. Schapiro noted “Title VII of the Dodd-Frank Act provides a comprehensive framework for the regulation of the over-the-counter derivatives market.  It specifies the jurisdiction of the […] Read more →

by   |   September 23, 2010

US Capitol Building

More 14a-11 Examples

Public Companies and Securities Filings by public companies continue to include references to Rule 14a-11, which permits shareholders to nominate a director and include the nomination in the registrant’s proxy... Read more →

by   |   September 19, 2010

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SEC Proposes Rules on Window Dressing

Banking, Insurance, Public Companies and Securities The SEC issued proposed rules on short-term borrowing disclosures.  Separately, the SEC issued an interpretive release on the presentation of liquidity and capital resource... Read more →

by   |   September 17, 2010

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SEC Adopts Rules Related to Section 404 Reports for Non-Accelerated Filers

Public Companies and Securities The SEC adopted amendments to its rules and forms to conform them to new Section 404(c) of the Sarbanes-Oxley Act, as added by Section 989G of the Dodd-Frank Act.   Section... Read more →

by   |   September 15, 2010