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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 »

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Examples of Brexit Disclosures in SEC Filings

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Public Companies and Securities As Broc Romanek noted on the TheCorporateCounsel.net, a number of SEC filings discussing Brexit have been made. I have noted some of the disclosures below, focusing on those that have been made since the vote result was announced. Form 8-K Many are updating their forward looking statements disclaimer to refer to Brexit in some fashion. […] Read more →

by   |   June 29, 2016

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SEC Proposes Rule Requiring Investment Advisers to Adopt Business Continuity and Transition Plans

Investment Advisers, Private Equity In its third rulemaking in two days without holding a meeting, the SEC proposed a new rule that would require registered investment advisers to adopt and implement written... Read more →

by   |   June 28, 2016

Quinlivan.Stephen.web

Court Holds Drafting Contracts Violates Sarbanes-Oxley

Litigation, Public Companies and Securities Section 802 of the Sarbanes-Oxley Act added the following provision to 18 U.S.C. § 1519: “Sec. 1519. Destruction, alteration, or falsification of records in Federal... Read more →

by   |   June 28, 2016

resource exctraction

SEC Adopts Resource Extraction Rules

Public Companies and Securities Responding to a court order, the SEC adopted rules to require resource extraction issuers to disclose payments made to governments for the commercial development of oil, natural... Read more →

by   |   June 27, 2016