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 Commissioner Supports Mandatory Shareholder Arbitration

Litigation, Public Companies and Securities Reuters is reporting that SEC Commissioner Michael Piwowar urged IPO companies to request relief from the SEC to include mandatory arbitration provisions for shareholder disputes. Commissioner Piwowar apparently made the comment in as yet unpublished remarks during an appearance at the Heritage Foundation. In 2012, Carlyle reportedly dropped a mandatory arbitration provision from its IPO […] Read more →

by   |   July 18, 2017

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New SEC Chair Announces Guiding Principles

Banking, Broker-Dealer, Public Companies and Securities In remarks before the Economic Club of New York, new SEC Chairman Jay Clayton discussed eight guiding principles: Principle #1: The SEC’s mission is our touchstone. Investors... Read more →

by   |   July 12, 2017

CPA Can’t be a Whistleblower for Non-Public Entities

Employment, Executive Compensation, Litigation, Public Companies and Securities Reyher v. Grant Thornton, LLP analyzed whether an employee of a CPA firm is protected by the anti-retaliation provisions of the Dodd-Frank Act for lodging complaints with an... Read more →

by   |   July 10, 2017

SEC Issues Additional Guidance on Voluntary Confidential Submissions for All Issuers

Public Companies and Securities As previously reported here, on June 29, 2017, the Division of Corporation Finance announced that it would accept draft registration statements from all issuers for nonpublic... Read more →

by   |   July 3, 2017