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 Public Companies and Securities

SEC Approves Revised Nasdaq Rule for Shareholder Approval of Private Placements

Public Companies and Securities The SEC has approved an amendment to Nasdaq Rule 5635(d) to modify the circumstances in which shareholder approval is required for issuances of securities in private placement transactions. The revised rule provides shareholder approval is required prior to a 20% Issuance at a price that is less than the Minimum Price.  A “20% Issuance”, for […] Read more →

by   |   September 30, 2018

Elon Musk, Twitter and Disclosure Controls and Procedures

Public Companies and Securities In perhaps the fastest moving SEC enforcement action of all time, the SEC charged Elon Musk with securities fraud on September 27, 2018 after settlement agreements reportedly fell... Read more →

by   |   September 29, 2018

ISS Issues FAQs on GICS Code 5020 Implementation

Executive Compensation, Public Companies and Securities On September 28, 2018, S&P Dow Jones Indices and MSCI, Inc. will introduce a new grouping to their Global Industry Classification Standard (GICS) system. This new... Read more →

by   |   September 27, 2018

SEC Staff Provides Relief for Form 10-Qs under Disclosure Simplification Rules

Public Companies and Securities SEC staff recently issued this Compliance and Disclosure Interpretation: Question 105.09 Question: On August 17, 2018, the SEC adopted amendments to certain disclosure... Read more →

by   |   September 25, 2018