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 Tags Private Equity Group for Accelerated Fees

Litigation, Private Equity The SEC entered into an agreed settlement with a private equity group for receiving accelerated fees without the consent of all necessary parties prior to the commitment of capital. The SEC alleged the private equity group typically entered into agreements with portfolio companies, pursuant to which it received periodic fees in exchange for performing consulting […] Read more →

by   |   July 3, 2018

Changes to SEC Forms as a Result of Inline XBRL and Revised Smaller Reporting Company Definition

Public Companies and Securities As we noted here, the SEC has issued final rules regarding the mandatory use of Inline XBRL and revising the definition of smaller reporting companies, or SRCs. Inline XBRL The... Read more →

by   |   July 1, 2018

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SEC Reduces Thresholds for Smaller Reporting Company Definition and Requires Mandatory Use of Inline XBRL

Executive Compensation, Public Companies and Securities The SEC has long recognized that smaller issuers should be subject to somewhat less stringent disclosure standards than larger companies. The SEC has referred to this as... Read more →

by , and   |   June 29, 2018

Supreme Court Finds Appointment of SEC ALJs Unconstitutional – What’s Next?

Litigation, Public Companies and Securities In Lucia v. Securities and Exchange Commission, the SEC brought an administrative action before one of its administrative law judges, or ALJ’s, against Raymond Lucia for... Read more →

by   |   June 24, 2018