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 Approves NASDAQ Rule on Uninstructed Shares

US Capitol Building

Public Companies and Securities Section 957 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”) adopted new Section 6(b)(10) of the Securities Exchange Act.  This new provision requires all national securities exchanges to adopt rules that prohibit their members from voting on the election of a member of the board of directors of an issuer […] Read more →

by   |   September 28, 2010

SEC Soon Not to be Free to Keep Certain Information Confidential

Litigation, Public Companies and Securities One of the more controversial provisions of the Dodd-Frank Act allows information gathered by the SEC in its examination and investigation of those entities it regulates to not be... Read more →

by   |   September 27, 2010

PCAOB, GAAS and Broker-Dealers

Banking, Public Companies and Securities The SEC has issued interpretive guidance regarding the meaning of the term “generally accepted auditing standards” (“GAAS”) after adoption of the Dodd-Frank Act.  Section... Read more →

by   |   September 24, 2010

US Capitol Building

Schapiro on Security-Based Swaps

Banking, Public Companies and Securities SEC Chair Mary Schapiro gave her thoughts on some of the implications of the Dodd-Frank Act for security based swaps in remarks given to the Security Traders Association.  Ms.... Read more →

by   |   September 23, 2010