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

NYC Pension Fund Submits 75 Proxy Access Proposals

Quinlivan_Stephen_M4x5 2014 bio photo

Public Companies and Securities New York City Comptroller Scott M. Stringer, on behalf of the $160 billion New York City Pension Funds, has submitted proxy access shareowner proposals to 75 companies.  The proposals request a bylaw to give shareowners who meet a threshold of owning three percent of a company for three or more years the right to list […] Read more →

by   |   November 13, 2014

advertising

SEC Finds Crowdfunding Website a General Solicitation and Violated Broker-Dealer Rules

Litigation, Public Companies and Securities In a settled enforcement action, the SEC alleged the defendant failed to implement procedures reasonably designed to prevent U.S. persons from accessing and investing in... Read more →

by   |   November 10, 2014

proxy

New Surprises in Final 2015 ISS Policy Updates

Executive Compensation, Public Companies and Securities ISS has issued its 2015 policy updates. Unilateral Bylaw/Charter Amendments This policy is new stand-alone policy.  Previously these matters were evaluated under the ISS... Read more →

by   |   November 6, 2014

11379622_S[1]

SEC Snares 10 for 8-K Violations

Litigation, Public Companies and Securities The SEC settled actions with ten companies for alleged Form 8-K violations.  The investigation centered on failure to file Form 8-K when shares of common stock are sold in... Read more →

by   |   November 6, 2014