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 »

Dodd-Frank Employment

SEC Targets Perqs in Another Enforcement Action

Employment, Executive Compensation, Litigation, Public Companies and Securities The SEC has targeted disclosure of executive perquisites in another settled enforcement action.  According to the SEC, the issuer did not follow the Commission’s standard regarding disclosure of perquisites, which provides that: An item is not a perquisite or personal benefit if it is integrally and directly related to the performance of the executive’s duties. […] Read more →

by   |   July 4, 2018

SEC Issues FAQs on Compensation Plan Proposals Included in Proxy Statements

Employment, Executive Compensation, Public Companies and Securities The SEC has issued a series of frequently asked questions, which in SEC speak are referred to as Compliance and Disclosures Interpretations (or C&DIs for short), on proxy... Read more →

by   |   May 11, 2018

Fintech Company Subject to SEC Enforcement Action for Exceeding Rule 701 Option Grant Limit

Employment, Executive Compensation, Litigation, Public Companies and Securities Subject to its limits, Rule 701 permits non-reporting companies to grant employees equity without registration under the Securities Act of 1933.  One component of Rule 701... Read more →

by   |   March 17, 2018

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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