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

SEC Proposes Hedging Disclosures Regarding Directors, Officers and Employees

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Public Companies and Securities The SEC has proposed  rules to implement Section 955 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, as codified in Section 14(j) of the Exchange Act, which requires annual meeting proxy statement disclosure of whether employees or members of the board of directors are permitted to engage in transactions to hedge or offset […] Read more →

by   |   February 9, 2015

Trinity Wall Street Responds in Appeal of Exclusion of Shareholder Proposal

Litigation, Public Companies and Securities Currently before the Third Circuit is Trinity Wall Street v. Wal-Mart Stores, Inc.  The case involves whether Wal-Mart can exclude a shareholder proposal under the “ordinary... Read more →

by   |   February 4, 2015

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SEC Denies No-Action Request for “Publisher Exclusion” for Recommendations of Crowdfunded Investments

Investment Advisers The SEC denied a no-action request that was submitted by Jonathon Hendricks.  The no-action request inquired about a Wyoming based business  that would make available a  list... Read more →

by   |   February 4, 2015

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Bad Actor Waivers and Conditions – The Controversy Continues

Broker-Dealer, Litigation, Public Companies and Securities In a prior blog we discussed a Regulation D bad actor waiver granted to Oppenheimer & Co. that imposed conditions on the receipt of the waiver.  The waiver provided... Read more →

by   |   February 4, 2015