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 »

Dodd-Frank

SEC Proposes to Expand “Test-the-Waters” Communications to all Issuers

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Public Companies and Securities The SEC has proposed new rules that would permit all issuers to solicit investor views about potential offerings to be taken into account at an earlier stage in the process than is the case today. The new rule and related amendments would expand the “test-the-waters” accommodation—currently available to emerging growth companies or “EGCs”—to all issuers, […] Read more →

by and   |   February 19, 2019

Revising 162(m) Disclosures in Proxy Statements

Employment, Executive Compensation, Public Companies and Securities The Section 162(m) deduction limit for performance-based compensation was repealed by the Tax Cut and Jobs Act, effective for taxable years beginning after December 31, 2017,... Read more →

by   |   January 9, 2019

Elon Musk, Twitter and Disclosure Controls and Procedures

Public Companies and Securities In perhaps the fastest moving SEC enforcement action of all time, the SEC charged Elon Musk with securities fraud on September 27, 2018 after settlement agreements reportedly fell... Read more →

by   |   September 29, 2018

SEC Staff Provides Relief for Form 10-Qs under Disclosure Simplification Rules

Public Companies and Securities SEC staff recently issued this Compliance and Disclosure Interpretation: Question 105.09 Question: On August 17, 2018, the SEC adopted amendments to certain disclosure... Read more →

by   |   September 25, 2018