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

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 982 of the Dodd-Frank Act amended the Sarbanes-Oxley Act of 2002  to authorize the Public Company Accounting Oversight Board (“PCAOB”), among other things, to establish, subject to approval by the SEC, […] 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

SEC logo

Panel Predicts Limited Use of the New Shareholder Proxy Access Rules

Public Companies and Securities Back on September 10, 2010, we summarized new Exchange Act Rule 14a-11 relating to shareholder proxy access.  Last week, in a panel discussion organized by the Practising Law... Read more →

by   |   September 20, 2010

US Capitol Building

More 14a-11 Examples

Public Companies and Securities Filings by public companies continue to include references to Rule 14a-11, which permits shareholders to nominate a director and include the nomination in the registrant’s proxy... Read more →

by   |   September 19, 2010