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

FINRA Proposes Changes to Corporate Financing Rules

Broker-Dealer, Public Companies and Securities FINRA has filed a rule proposal with the SEC to amend Rules 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements) and 5121 (Public Offerings of Securities with Conflicts of Interest). Rule 5110 generally regulates underwriting compensation and prohibits unfair arrangements in connection with the public offering of securities. Among other provisions, Rule 5110 requires […] Read more →

by   |   January 24, 2014

Court Notes Form 8-K Is Not the Exclusive Source of Disclosure Obligations

Litigation, Public Companies and Securities In re Hi-Crush Partners L.P. Securities Litigation (2013 WL 6233561 (S.D.N.Y.) (December 2013) examines the interplay between Form 8-K triggering events and other disclosure... Read more →

by   |   January 22, 2014

Private Company GAAP Arrives

Private Equity, Uncategorized Two GAAP alternatives for private companies have been released by FASB.  The alternatives were created by the Private Company Council, or PCC. The alternatives are: FASB... Read more →

by   |   January 20, 2014

AICPA Describes Audit Procedures for Conflict Minerals Audit

Public Companies and Securities, Uncategorized The AICPA has issued additional guidance regarding the independent private-sector audit, or IPSA, which is required in some circumstances under the conflicts minerals rules. ... Read more →

by   |   January 18, 2014