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 »

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SEC Seeking Comment on Possible Revisions to Audit Committee Disclosures

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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 responsibilities with respect to its oversight of the independent auditor. The SEC has categorized the specific audit committee disclosures about which the Commission is interested in receiving comment into […] Read more →

by   |   July 6, 2015

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MSRB Provides Guidance on Developing Supervision and Compliance Programs for Municipal Advisors

Municipal Advisors, Uncategorized Rule G-44 of the Municipal Securities Rulemaking Board, or MSRB, became effective on April 23, 2015. That Rule establishes the supervisory and compliance obligations of municipal... Read more →

by   |   June 17, 2015

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Obligations Under Earn-Outs Are Limited to What the Words Say

Litigation, M&A, Private Equity, Uncategorized The stockholders of Cyveillance, Inc., sold their company for $40 million up-front and a $40 million earn-out if the company’s revenues reached a certain level. Section 5.4 of... Read more →

by   |   April 26, 2015

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MSRB Moves Foward Professional Qualification Standards For Municipal Advisors

Municipal Advisors, Uncategorized The Municipal Securities Rulemaking Board, or MSRB, has received approval from the SEC to create baseline standards of professional qualification for municipal advisors. The new... Read more →

by   |   March 2, 2015