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 »

Latest Dodd-Frank Posts

PCAOB Fixes What Isn’t Broken in New Proposals

financial statements

Public Companies and Securities The PCAOB has issued two new proposed auditing standards addressing the auditor’s opinion and information included in annual reports.  To me the proposals seem to provide redundant information, are highly problematic, address matters that have better alternative solutions and don’t make sense. Take the auditor’s report for example.  The PCAOB proposes that the auditor communicate “critical... Read more →

by   |   August 13, 2013

broker-dealer

Pending Legislation Offers M&A Advisers Relief From Broker-Dealer Rules

Broker-Dealer A bill pending in the House of Representatives (H.R. 2274) would provide some relief for M&A advisers from the broker-dealer registration rules.  The bill would permit the... Read more →

by   |   August 12, 2013

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Two Recent Say-on-Pay Decisions

Employment, Executive Compensation, Litigation, Public Companies and Securities Courts have recently rendered two say-on-pay decisions.  The first is Gordon v. Symantec Corporation.  The recent decision follows on the heels of an earlier dismissal.  The... Read more →

by   |   August 11, 2013

SEC logo

SEC Updated Form PF FAQs

Investment Advisers, Private Equity, Uncategorized The SEC has updated its frequently asked questions on Form PF.  The updates include: General filing information: Questions A.7 through A.9 on rounding, amendments to Form ADV on... Read more →

by   |   August 11, 2013