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

ISS Considering Changing Course on Independent Chair Shareholder Proposals

governance

Public Companies and Securities ISS is requesting feedback on a change to its voting policy on independent chair shareholder proposals.  ISS’ current policy is to generally recommend for independent chair shareholder proposals unless the company satisfies all of the following criteria: The company designates a lead director, who is elected by and from the independent board members with clearly […] Read more →

by   |   October 16, 2014

broker-dealer

It’s Going to be Harder to Sell Unregistered Securities

Broker-Dealer, Public Companies and Securities The SEC has issued a Risk Alert and FAQs to remind broker-dealers of their obligations when they sell unregistered securities on behalf of clients.  This occurs when founders and... Read more →

by   |   October 9, 2014

conflict minerals

Tulane Releases Study on First-Year Conflict Minerals Filings

Public Companies and Securities, Uncategorized The Payson Center for International Development of Tulane University Law School released a study analyzing the results of a June 2014 survey of issuers who filed the required Form... Read more →

by   |   October 7, 2014

Scale and Gavel

MD&A Rules Do Not Create Rule 10b-5 Disclosure Obligation

Litigation, Public Companies and Securities The Ninth Circuit recently examined whether Item 303 of Regulation of S-K, which sets forth the MD&A rules, creates an affirmative duty of disclosure on which to pin a Rule... Read more →

by   |   October 6, 2014