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 Proposes Clawback Rules—A Comprehensive Summary

claw back

Employment, Executive Compensation, Public Companies and Securities The SEC has proposed new rules to implement Section 954 of the Dodd-Frank Act, which added Section 10D to the Securities Exchange Act of 1934. Section 10D requires the Commission to adopt rules directing the national securities exchanges and national securities associations to prohibit the listing of any security of an issuer that is not […] Read more →

by   |   July 2, 2015

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Vanishing Regulation A+ Filings

Public Companies and Securities The CrowdCheck Blog has an interesting post on “The case of the vanishing Form 1-A filings.”  Most everything that was filed to date has disappeared, probably because... Read more →

by   |   June 29, 2015

claw back

SEC Meeting to Consider Compensation Clawback Proposal

Employment, Executive Compensation, Public Companies and Securities The SEC has announced an open meeting to consider clawback of executive compensation under Section 954 of the Dodd-Frank Act to be held on July 1, 2015.  According to the notice... Read more →

by   |   June 25, 2015

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SEC Publishes 11 Regulation A+ CD&Is

Public Companies and Securities The SEC has published 11 Compliance and Disclosure Interpretations related to Regulation A+ — numbered 182.01 through 182.11 under Securities Act Rules.  Highlights are:... Read more →

by   |   June 23, 2015