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

SEC Denies No Action Request Despite Board Analysis under SLB 14I

Public Companies and Securities Apple sought to exclude a shareholder proposal regarding the establishment of a Human Rights Committee on the basis that it involved the company’s ordinary business operations under Rule 14a-8(i)(7). Apple relied on newly issued Staff Legal Bulleting 14I.  Among other things SLB 14I provides that whether a policy issue is of sufficient significance to a […] Read more →

by   |   December 26, 2017

SEC Guidance on Accounting for the Tax Cuts and Jobs Act and Form 8-K Obligations

Public Companies and Securities As Christmas Eve approached with vacations and holiday shopping in full swing, President Trump signed the Tax Cut and Jobs Act and the SEC promptly issued guidance to public... Read more →

by   |   December 22, 2017

SEC Charges CEO/Director with Sarb-Ox Loan Violations for Unreimbursed Advances that Were Outstanding for 5 to 36 Days and Misleading Independence Assertions

Public Companies and Securities According to the SEC in an order settling an enforcement action, Alan Shortall was CEO and Chairman of Unilife Corporation, a Nasdaq listed issuer. According to the SEC, Shortall... Read more →

by   |   December 22, 2017

US Capitol Building

New Tax Bill Unleashes Flood of SEC Disclosures

Public Companies and Securities, Trump The new tax bill awaiting President Trump’s signature has unleashed a flood of disclosures in SEC filings. The new bill was unartfully renamed  “To provide for reconciliation... Read more →

by   |   December 21, 2017