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 »

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CFTC Makes Second Whistleblower Award


Employment, Uncategorized The U.S. Commodity Futures Trading Commission, or CFTC, announced that it will make an award of approximately $290,000 to a whistleblower for providing valuable information about violations of the Commodity Exchange Act. This is the second whistleblower award to be issued by the CFTC. The CFTC issued its first whistleblower award of $240,000 on May […] Read more →

by   |   October 4, 2015

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SEC Charges Investment Adviser with Cybersecurity Violations

Consumer Protection, Investment Advisers, Uncategorized The SEC recently commenced a settled enforcement action against an investment adviser, R.T. Jones Capital Equities Management, Inc., for cybersecurity matters.  Press reports... Read more →

by   |   September 23, 2015

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ISS Commences 2016 Proxy Voting Policy Survey

Executive Compensation, Public Companies and Securities, Uncategorized ISS has commenced its 2016 proxy voting policy survey. Some of the issues ISS seeks comment on include: Is it appropriate to use non-GAAP or adjusted GAAP metrics for compensation... Read more →

by   |   August 5, 2015


SEC Seeking Comment on Possible Revisions to Audit Committee Disclosures

Public Companies and Securities, Uncategorized The SEC has issued a concept release to seek public comment regarding audit committee reporting requirements, with a focus on the audit committee’s reporting of its... Read more →

by   |   July 6, 2015