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

First Public Company Receives Benefit of SEC Cooperation Policy—Implications for Whistleblower Claims

whistleblower

Banking, Broker-Dealer, Employment, Insurance, Litigation, Public Companies and Securities The first public company received credit for its cooperation as a result of the SEC’s policy with respect to cooperation in investigations and enforcement actions announced in January 2010.  The public company, Carter’s, Inc., entered into a non-prosecution agreement.  The SEC charged a former Executive Vice President of Carter’s Inc. for engaging in financial fraud […] Read more →

by   |   December 20, 2010

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SEC Proposes Permanent Rule Requiring Municipal Advisors to Register With Agency

Banking, Broker-Dealer, Investment Advisers The SEC has proposed a rule creating a new process by which municipal advisors must register with the SEC.  The proposed rule, required by the Dodd-Frank Wall Street Reform and... Read more →

by   |   December 20, 2010

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SEC Requests Comment on Credit Rating Standardization Study

Public Companies and Securities The SEC is requesting public comment to help inform its study pursuant to Section 939(h) of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 on the... Read more →

by   |   December 20, 2010

Dodd-Frank Corporate Governance

Say-on-Pay Proposals–Week of December 12th

Executive Compensation, Public Companies and Securities The filing of proxy statements with Dodd-Frank compliant say-on-pay proposals has become a daily event.  Public companies continue to prefer a three year frequency vote.  As... Read more →

by   |   December 19, 2010