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 Executive Compensation

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 statements and proxy solicitations.  In general the C&DIs replace previously issued telephone interpretations, but the lead in notes where substantive changes have been made.  For those who have […] Read more →

by   |   May 11, 2018

Advocacy Group Requests SEC to Investigate Irregularities in Pay Ratios

Executive Compensation, Public Companies and Securities An advocacy group, Public Citizen, has requested the SEC to investigate irregularities and inconsistencies in pay ratios reported by public companies. According to the group’s... Read more →

by   |   March 29, 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

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Companies and Securities Many know that the Section 162(m) deduction limit for performance-based compensation has been repealed by the recent tax legislation together with implementation of other changes,...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