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

Agencies Issue Final Rule on Minimum Requirements for Appraisal Management Companies

US Capitol Building

Banking Six federal financial regulatory issued a final rule that implements minimum requirements for state registration and supervision of appraisal management companies, or AMCs. An AMC is an entity that provides appraisal management services to lenders or underwriters or other principals in the secondary mortgage markets. These appraisal management services include contracting with licensed and certified... Read more →

by   |   April 30, 2015

whistleblower

SEC Makes Whistleblower Award in Connection With Retaliation Case

Employment, Investment Advisers, Litigation The SEC announced a maximum whistleblower award payment of 30 percent of amounts collected in connection with In the Matter of Paradigm Capital Management, Inc. and Candace King... Read more →

by   |   April 28, 2015

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Obligations Under Earn-Outs Are Limited to What the Words Say

Litigation, M&A, Private Equity, Uncategorized The stockholders of Cyveillance, Inc., sold their company for $40 million up-front and a $40 million earn-out if the company’s revenues reached a certain level. Section 5.4 of... Read more →

by   |   April 26, 2015

proxy

Proxy Access Week of April 19

Public Companies and Securities During the week of April 19, 2015, 8-Ks were filed that disclosed two proxy access proposals passed and four failed.  All required three percent ownership for three years and all... Read more →

by   |   April 26, 2015