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

Preliminary Planning for the 2017 Proxy Season

shareholders

Public Companies and Securities For those who want to start preparing for the 2017 proxy season, our preliminary list of important considerations is set forth below: Directors’ and Officer’s Questionnaire Nasdaq has adopted a rule requiring disclosure of director “golden leash” compensation arrangements. Nasdaq listed issuers may wish to revise their directors’ and officers’ questionnaires to elicit... Read more →

by and   |   August 31, 2016

transition

SEC Proposes Amendments to Require Hyperlinks to Exhibits in Filings

Public Companies and Securities The SEC has proposed rule and form amendments that would require registrants to include a hyperlink to exhibits in their filings. The proposed amendments would require registrants... Read more →

by   |   August 31, 2016

whistleblower

Recent SEC Enforcement Actions Prompt Consideration of Whistleblower Carve-outs

Employment, Litigation, Public Companies and Securities The recent settlement of SEC enforcement actions concerning the Dodd Frank Act’s whistleblower provisions are prompting companies and their counsels to evaluate current and... Read more →

by   |   August 30, 2016

SEC logo

SEC Awards Culpable Whistleblower $22 Million

Employment, Public Companies and Securities The SEC announced the award of more than $22 million to a whistleblower whose detailed tip and extensive assistance helped the agency halt a well-hidden fraud at the company where... Read more →

by   |   August 30, 2016