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 Targets Lapses in Ownership Reporting in Battles for Corporate Control

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Litigation, M&A, Public Companies and Securities The SEC has recently announced settlement of enforcement actions targeting violations of beneficial reporting requirements under Section 13(d) of the Act. In one of the most recent actions (available here), the SEC’s Enforcement Staff brought proceedings against certain shareholder activists and their affiliate for failing to properly disclose beneficial ownership information during a series of... Read more →

by   |   February 14, 2017

SEC Approves T+2 settlement; Abides by T+4 settlement for Firm Commitment Deals

Broker-Dealer, Public Companies and Securities On February 10th, the SEC took action to formally approve of changes proposed by the NASDAQ Stock Market, NYSE MKT LLC, and New York Stock Exchange LLC’s, to shorten the... Read more →

by   |   February 14, 2017

SEC to Reconsider Implementation of Pay Ratio Rule

Employment, Executive Compensation, Public Companies and Securities Following on the heels of its announcement to reconsider implementation of the conflict minerals rule, SEC Acting Chairman Michael S. Piwowar has announced his intention to... Read more →

by   |   February 6, 2017

SEC Resource Extraction Rule to be Eliminated Under Congressional Review Act

Public Companies and Securities As we previously noted, the House was set to vote on the disapproval of the SEC Resource Extraction Rule under the Congressional Review Act. The joint resolution passed the House... Read more →

by   |   February 3, 2017