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

Proxy Access: What do SEC Filings Reveal?

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Executive Compensation, Public Companies and Securities References to Rule 14a-11 are beginning to show up in public filings.  Set forth below are some examples.  The examples show the multitude of ways in which Rule 14a-11 will impact corporate legal practice.  Disclosures in Proxy Statements  Dynegy includes the following 14a-11 disclosure in its preliminary proxy statement:  “Under Rule 14a-8 promulgated under the […] Read more →

by   |   September 9, 2010

US Capitol Building

SEC, CFTC To Host Joint September Roundtables On Swap and Security-Based Swap Matters

Banking, Energy, Insurance, Public Companies and Securities Staff from the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) will hold two joint public roundtables in September on issues relating to... Read more →

by   |   September 8, 2010

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NYSE Submits Proposed Rule to SEC on Elimination of Broker Discretionary Voting on Executive Compensation Matters

Executive Compensation, Public Companies and Securities Pursuant to Section 957 of the Dodd-Frank Act, the New York Stock Exchange submitted a proposal to amend NYSE Rule 452 and NYSE Listed Company Manual Section 402.08 to prohibit... Read more →

by   |   September 7, 2010

Stacks of Coins

Municipal Advisers Must Register With the SEC by October 1

Banking, Insurance, Public Companies and Securities The Securities and Exchange Commission announced on September 2, 2010, that it has adopted a temporary rule requiring municipal advisors to register with the SEC by October 1, a... Read more →

by   |   September 2, 2010