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 »

Latest Dodd-Frank Posts

New FAQs on Broker-Dealer Registration Exemption

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Broker-Dealer, Investment Advisers, Private Equity, Public Companies and Securities On February 5, 2013, the SEC released FAQs regarding Section 201 of the JOBS Act, which offers a new limited exemption from broker-dealer registration. In addition to directing the SEC to adopt rules lifting the ban on general solicitation in Rule 506 offerings to only accredited investors (provided that the issuers take reasonable steps to verify […] Read more →

by   |   February 7, 2013

FINRA Releases FAQs on Public Offering Review

Broker-Dealer, Public Companies and Securities FINRA has released a set of FAQs relating to its review of public offerings filed with FINRA’s Public Offering System, which replaced COBRADesk as FINRA’s online filing system... Read more →

by   |   February 2, 2013

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Changes to D&O Questionnaires to Implement NYSE and Nasdaq Compensation Committee Independence Rules

Executive Compensation, Public Companies and Securities, Uncategorized Both the NYSE and Nasdaq stock exchanges are requiring most issuers to have independent compensation committees by the earlier of their first annual meeting after January 14,... Read more →

by   |   February 1, 2013

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Examples of Disclosures Regarding Conflict Free Compensation Advisors

Executive Compensation Examples of Disclosures Regarding Conflict Free Compensation Advisors New S-K Item 407(e)(3)(iv) provides that if any compensation consultant has played a role in determining or... Read more →

by   |   January 31, 2013