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

NASDAQ Proposes to Stop Automatic Delisting for Failure to Hold Annual Meeting

Public Companies and Securities Under Current NASDAQ Rule 5810(c)(1), NASDAQ staff is required to issue a delisting determination, subjecting the company to immediate suspension and delisting, if a company fails to solicit proxies and hold its annual meeting as required by Rule 5620. The NASDAQ staff has no discretion to allow additional time for the company to regain compliance. […] Read more →

by   |   November 21, 2014

Question mark

Do I Need to Update My D&O Questionnaire for 2015?

Public Companies and Securities One of the most frequent questions we get this time of year is issuers asking whether there are any needed updates to director and officer questionnaires.  Necessary... Read more →

by   |   November 19, 2014

whistleblower

SEC Describes Profiles of Successful Whistleblowers

Employment, Litigation, Public Companies and Securities, Uncategorized In its 2014 Report to Congress on the Dodd-Frank Whistleblower Program, the SEC described the profile of successful whistleblowers. Because the SEC must keep the identity of... Read more →

by   |   November 18, 2014

conflict minerals

Panel to Rehear Conflict Minerals Case

Public Companies and Securities The United States Court of Appeals for the District of Columbia has granted the petition for a panel rehearing (as opposed to an en banc rehearing) in the conflict minerals... Read more →

by   |   November 18, 2014