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 Issues C&DIs on Exempt Solicitations

Public Companies and Securities We recently noted a shareholder proponent had been making aggressive use of Notices of Exempt Solicitation on EDGAR. Exchange Act Rule 14a-6(g)(1) requires that any person who engages in a solicitation pursuant to Exchange Act Rule 14a-2(b)(1) and beneficially owns over $5 million of the class of securities that is the subject of the solicitation […] Read more →

by   |   August 1, 2018

SEC Staff to Hold Roundtable on the Proxy Process

Public Companies and Securities In 2010, the SEC issued a concept release seeking public comment on whether the U.S. proxy system as a whole operates with the accuracy, reliability, transparency, accountability,... Read more →

by   |   July 30, 2018

ISS Launches Annual Global Policy Survey

Public Companies and Securities ISS has launched its annual global policy survey which often foreshadows changes to its voting guidelines. As in 2017, this year’s survey is being conducted in two parts,... Read more →

by   |   July 30, 2018

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Commission Disapproves BZX Rule Change to List Winklevoss Bitcoin Trust

Public Companies and Securities Previously, the Bats BZX Exchange, Inc. filed a proposed rule change with the Commission, seeking to list and trade shares of the Winklevoss Bitcoin Trust. The SEC Division of... Read more →

by   |   July 26, 2018