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 Finds Initial Coin Offerings Can be Securities

Blockchain Technology, Crowdfunding, Public Companies and Securities The SEC issued an investigative report cautioning market participants that offers and sales of digital assets by “virtual” organizations are subject to the requirements of the federal securities laws. Such offers and sales, conducted by organizations using distributed ledger or blockchain technology, have been referred to, among other things, as “Initial Coin Offerings” or... Read more →

by   |   July 25, 2017

SEC Commissioner Supports Mandatory Shareholder Arbitration

Litigation, Public Companies and Securities Reuters is reporting that SEC Commissioner Michael Piwowar urged IPO companies to request relief from the SEC to include mandatory arbitration provisions for shareholder disputes.... Read more →

by   |   July 18, 2017

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New SEC Chair Announces Guiding Principles

Banking, Broker-Dealer, Public Companies and Securities In remarks before the Economic Club of New York, new SEC Chairman Jay Clayton discussed eight guiding principles: Principle #1: The SEC’s mission is our touchstone. Investors... Read more →

by   |   July 12, 2017

CPA Can’t be a Whistleblower for Non-Public Entities

Employment, Executive Compensation, Litigation, Public Companies and Securities Reyher v. Grant Thornton, LLP analyzed whether an employee of a CPA firm is protected by the anti-retaliation provisions of the Dodd-Frank Act for lodging complaints with an... Read more →

by   |   July 10, 2017