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

SEC Proposes Rules for Security-Based Swap Dealers and Major Security-Based Swap Participants

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Derivatives, Uncategorized The Securities and Exchange Commission has proposed rules regarding capital, margin, and segregation requirements for security-based swap dealers and major security-based swap participants. The proposed rules are required by the Dodd-Frank Wall Street Reform and Consumer Protection Act, which authorizes the SEC and other regulators to put in place a comprehensive framework for regulating the […] Read more →

by   |   October 17, 2012

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New Guidance on Shareholder Proxy Proposals

Broker-Dealer, Public Companies and Securities Rule 14a-8 under the Securities Exchange Act of 1934 allows shareholders to submit proposals for inclusion in a company’s proxy materials provided that: 1) the shareholder has... Read more →

by   |   October 16, 2012


SEC JOBS Act Study on Enforcement of Registration Thresholds

Public Companies and Securities The SEC Staff as submitted to Congress a report on its authority to enforce Rule 12g5–1 to determine if new enforcement tools are needed to enforce the anti-evasion provision... Read more →

by   |   October 16, 2012


ISS Releases Draft 2013 Policies for Comment

Employment, Executive Compensation, Public Companies and Securities ISS has released its draft 2013 policies for comment.   Key changes are as follows: For say-on-pay proposals, the summary of proposed changes provides: Use company’s... Read more →

by   |   October 16, 2012