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 Say-on-Pay Frequency Results Mixed

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Employment, Executive Compensation, Public Companies and Securities Based on filed 8-Ks, two companies have reported the results of the shareholder advisory vote on frequency of the say-on-pay vote as of January 25, 2011.  In both, the board recommended a triennial vote.  However, the shareholders in one voted for an annual say-on-pay vote, and the other went with a three year vote. The […] Read more →

by   |   January 25, 2011

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SEC Adopts Final Say-on-Pay Rules

Employment, Executive Compensation, Public Companies and Securities The SEC has issued its final say-on-pay rules (Release No. 33-9178; 34-63768).  The good news is the final rules are mostly tweaks, and issuers’ advance planning to date will... Read more →

by   |   January 25, 2011

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SEC Proposes Rules Regarding Accredited Investors

Private Equity, Public Companies and Securities The SEC has proposed rules pursuant to Section 413(a) of the Dodd-Frank Act which requires the definition of “accredited investor” in the SEC’s Securities Act rules to... Read more →

by   |   January 25, 2011

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SEC Staff to Congress: Brokers Should be Subject to a Uniform Fiduciary Standard

Banking, Broker-Dealer, Investment Advisers The staff of the SEC has delivered to Congress a long-awaited study pursuant to Section 913 of the Dodd-Frank Act.  That provision of the Dodd-Frank Act requires the SEC to... Read more →

by   |   January 22, 2011