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

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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 broker-dealers, investment advisers, investment companies (mutual funds), transfer agents, municipal advisors, private fund advisers, clearing agencies, nationally recognized statistical rating organizations, national securities... Read more →

by   |   January 25, 2018

Initial Tax Disclosures Regarding 162(m) in Proxy Statements

Employment, Executive Compensation, Public Companies and Securities Many know that the Section 162(m) deduction limit for performance-based compensation has been repealed by the recent tax legislation together with implementation of other changes,... Read more →

by   |   January 5, 2018

New Tax Act Disclosures, Explanations and Examples

Employment, Executive Compensation, Public Companies and Securities Disclosures regarding the new tax act, often referred to as the Tax Cuts and Jobs Act or TCJA, continue to be prominent in SEC filings. Set forth blow is an explanation of the... Read more →

by   |   January 1, 2018

ISS Updates FAQs for 2018 Proxy Season

Employment, Executive Compensation, Public Companies and Securities ISS has published updates of the following documents: U.S. Equity Compensation Plans – Frequently Asked Questions U.S. Compensation Policies – Frequently Asked Questions... Read more →

by   |   December 15, 2017