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

Preventing Exchange Act Reporting Obligations After the JOBS Act

Private Equity, Public Companies and Securities, Uncategorized In General Growing companies need to be aware of the requirements of Section 12(g) of the Exchange Act.  If the thresholds of Section 12(g) are crossed, which look principally to the number of shareholders, the company must generally begin filing the same reports under the Securities Exchange Act of 1934 as any company listed on […] Read more →

by   |   November 17, 2013

SEC Discloses Facts in 2013 Annual Whistleblower Report

Employment, Litigation, Public Companies and Securities The SEC has released its 2013 Annual Report to congress on the Dodd-Frank Whistleblower Program.  Setting aside the SEC chest pounding, this is the first year for which the SEC... Read more →

by   |   November 17, 2013

SEC Expects Companies to Transition to New COSO Framework for Internal Control Reporting

Public Companies and Securities When evaluating internal control over financial reporting, Exchange Act Rule 13a-15(c) requires the evaluation to be based on a framework that is “a suitable, recognized... Read more →

by   |   November 15, 2013

Updated Jobs Act Resources

Broker-Dealer, Investment Advisers, Private Equity, Public Companies and Securities We have updated our publication, The JOBS Act and Other Securities Law Essentials for Growing Companies, to incorporate the proposed crowdfunding rules as well as the new insights... Read more →

by   |   November 14, 2013