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 Executive Compensation

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 Consumer Protection Act. The staff is examining registered investment advisers and registered broker-dealers, reviewing, among other things, compliance manuals, codes of ethics, employment agreements, and severance agreements to... Read more →

by   |   October 24, 2016

executive compensation

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

NYSE Bull 3

Nasdaq Golden Leash Proposal

Executive Compensation, Litigation, M&A, Public Companies and Securities Nasdaq recently extended the comment period for its proposed disclosure requirements on golden leash arrangements. Some may wonder why the proposal is controversial.  For an... Read more →

by   |   June 4, 2016


New Proposed Rules on Banker Incentive Compensation Released

Banking, Broker-Dealer, Employment, Executive Compensation The National Credit Union Administration, or NCUA, became the first of six Agencies to unveil a revised rule proposal under Section 956 of the Dodd-Frank Act: prohibiting... Read more →

by   |   April 21, 2016