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 Releases FAQs on Private Placement Notice Filing Rule

Broker-Dealer, Private Equity On December 3, 2012, FINRA released a set of FAQs relating to new Rule 5123 (our prior coverage here), which went into effect on December 3 and requires FINRA members to file with FINRA copies of the private placement memorandum, term sheet, or other offering documents used to sell a private placement within 15 days […] Read more →

by   |   December 8, 2012


ISS Publishes FAQs On New Peer Group Method

Executive Compensation, Public Companies and Securities ISS has published a series of frequently asked questions on its new peer group selection method. The FAQs explain the new policies.  The new procedures give weight in some... Read more →

by   |   December 6, 2012

NYSE Bull 3

Nasdaq Revises Issuer Disclosure Rules Regarding Notices of Listing Deficiencies

Public Companies and Securities The SEC has approved a Nasdaq rule change regarding issuer disclosure of listing deficiencies. Nasdaq rules provide that when a listed issuer does not meet the exchange’s... Read more →

by   |   December 5, 2012

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SEC Releases New CD&Is on Iran Disclosures

Public Companies and Securities The Iran Threat Reduction and Syria Human Rights Act (ITRA), signed into law on August 10, 2012, added new Section 13(r) to the Exchange Act, requiring issuers that file reports... Read more →

by   |   December 5, 2012