Stinson Leonard Street 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 Requests Comment on Study of SOX Compliance Burden

Public Companies and Securities On October 14, the SEC recently issued a release requesting public comment in connection with a study relating to ways in which the SEC could reduce the burden of complying with Section 404(b) of the Sarbanes-Oxley Act of 2002 for companies whose public float is between $75 million and $250 million.   The study is called […] Read more →

by   |   October 15, 2010

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SEC Proposed Rules on Issuer Review of Assets in Offerings of Asset-Backed Securities

Public Companies and Securities The SEC has proposed new requirements in order to implement Section 945 and a portion of Section 932 of the Dodd-Frank Act (Release No. 33-9150).   First, the SEC has proposed a... Read more →

by   |   October 13, 2010

Examples of Proxy Statements After SEC Stay of Rule 14a-11

Public Companies and Securities  The SEC has stayed the application of proxy access rules set forth in Rule 14a-11.  The question remains whether issuers should make any Rule 14a-11 disclosures in their proxy... Read more →

by   |   October 13, 2010

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SEC Proposes Rules on Family Offices

Public Companies and Securities The SEC has proposed a rule pursuant to Section 409 of the Dodd-Frank Act to define “family offices” that would be excluded from the definition of an investment adviser under... Read more →

by   |   October 12, 2010