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

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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 404(c) provides that Section 404(b) of the Sarbanes-Oxley Act shall not apply with respect to any audit report prepared for an issuer that is neither […] Read more →

by   |   September 15, 2010

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SEC to Propose Rules on Disclosures Related to Short-Term Borrowings

Banking, Insurance, Public Companies and Securities The SEC has announced that on September 17, 2010 it will hold an open meeting to consider whether to propose rules that would require a public company to provide certain... Read more →

by   |   September 10, 2010

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Proxy Access: What do SEC Filings Reveal?

Executive Compensation, Public Companies and Securities References to Rule 14a-11 are beginning to show up in public filings.  Set forth below are some examples.  The examples show the multitude of ways in which Rule 14a-11 will... Read more →

by   |   September 9, 2010

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SEC, CFTC To Host Joint September Roundtables On Swap and Security-Based Swap Matters

Banking, Energy, Insurance, Public Companies and Securities Staff from the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) will hold two joint public roundtables in September on issues relating to... Read more →

by   |   September 8, 2010