Stinson Leonard Street 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

New C&DI’s on Fee Calculations and Form S-8

Employment, Executive Compensation, Public Companies and Securities The SEC issued three new C&DIs on fee calculations: Question 240.11 Question: An issuer has a Form S-8 on file that registers shares of common stock to be issued upon the exercise of outstanding options. The issuer has decided to stop granting stock options and believes that it has more shares registered on the Form […] Read more →

by   |   November 9, 2016

ISS Announces Pay-for-Performance Methodology Updates for 2017

Employment, Executive Compensation, Public Companies and Securities ISS announced changes to the methodology underlying its pay-for-performance models for companies in the U.S. and other markets to take effect Feb. 1, 2017. ISS will present... Read more →

by   |   November 8, 2016

SEC Exams Looking for Whistleblower Violations

Broker-Dealer, Employment, Executive Compensation, Investment Advisers, Litigation SEC staff in the Office of Compliance Inspections and Examinations are examining compliance with key whistleblower provisions arising out of the Dodd-Frank Wall Street Reform and... Read more →

by   |   October 24, 2016

SEC Publishes FAQs on Pay Ratio Rule

Employment, Executive Compensation, Public Companies and Securities The SEC has published five FAQs on its pay ratio rule – see new questions 128C.01 to 128C.05. As we noted in our checklist of preliminary planning matters for the upcoming proxy... Read more →

by   |   October 18, 2016