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

FINRA Solicits Comments on Rules Impacting Capital Formation and Proposed Changes to the Corporate Financing Rule

Broker-Dealer, Public Companies and Securities In what seems to be a bow to the Trump Administration, FINRA has issued Regulatory Notice 17-14 which broadly seeks comments on FINRA rules that impact capital formation. Specific rules FINRA is seeking comment on include: Capital Acquisition Broker Rules Funding Portal Rules Rule 2241 (Research Analysts and Research Reports) Rule 2242 (Debt Research Analysts […] Read more →

by   |   April 20, 2017

US Capitol Building

Draft Financial Choice Act 2.0 Prohibits Universal Proxy and Restricts Shareholder Proposals

Public Companies and Securities The House Financial Services Committee has released a discussion draft of a revised Financial Choice Act. The Committee will hold a hearing on the Act on April 26, 2017. Section... Read more →

by   |   April 20, 2017

Enforcement Sweep Snares Issuers for Paid Stock Promotions

Litigation, Public Companies and Securities The SEC announced enforcement actions against 27 individuals and entities behind various alleged stock promotion schemes that left investors with the impression they were reading... Read more →

by   |   April 10, 2017

SEC Staff Relaxes Conflict Minerals Reporting

Public Companies and Securities Effective immediately, the SEC staff has relaxed conflict minerals reporting requirements by public companies. The change was triggered by the entry of a final judgment in the... Read more →

by   |   April 7, 2017