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

Mutual Funds Begin Disclosures of Say-on-Pay Votes


Executive Compensation, Public Companies and Securities Mutual funds have begun disclosing their say-on-pay votes.  The disclosures are being made on Form N-PX.  Here is an example of the disclosure that T. Rowe Price Index Trust, Inc. made when they apparently voted against Abercrombie & Fitch Co.’s executive pay: ABERCROMBIE & FITCH CO. Ticker:       ANF            Security ID:  002896207 Meeting Date: JUN 16, 2011   […] Read more →

by   |   August 31, 2011


Fed Seeks Comment on Proposal Outlining Procedures for Securities Holding Companies to Elect to be Supervised by the Federal Reserve

Banking, Broker-Dealer The Federal Reserve Board is seeking comment on a proposed rule outlining the procedures for securities holding companies, or SHCs, to elect to be supervised by the Federal... Read more →

by   |   August 31, 2011

Stacks of Coins

Another Executive Agrees to Sarb-Ox Clawback Even Though Not at Fault

Employment, Litigation, Public Companies and Securities The SEC announced a settlement with the former chief financial officer of Beazer Homes USA to recover his bonus compensation and stock sale profits from the period when the... Read more →

by   |   August 30, 2011

CFTC logo4

Gensler Anticipates Proposed Swap Phase-In Rules During September

Derivatives In his opening remarks for the CFTC’s Commodities Trading Conference on August 25, 2011, CFTC Chairman Gary Gensler stated “It is my hope that we vote on two proposed... Read more →

by   |   August 25, 2011