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

CFTC Issues Advisory on Violations of the Commodity Exchange Act Involving Foreign Corrupt Practices

Derivatives, Litigation The CFTC announced an Enforcement Advisory on self-reporting and cooperation for violations of the Commodity Exchange Act, or CEA, involving foreign corrupt practices.  Because the Enforcement Advisory is limited to the CEA, it does not suggest that the CFTC will bring actions regarding violations of the Foreign Corrupt Practices Act. The new Enforcement Advisory provides […] Read more →

by   |   March 11, 2019

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SEC Comments on Pay Ratio Disclosures (None)

Employment, Executive Compensation, Public Companies and Securities We have been unable to find extensive SEC comments on last year’s first round of pay ratio disclosures.  Searches for comment letter responses referring to for “402(u)” or... Read more →

by   |   March 11, 2019

Examples of 2019 Pay Ratio Disclosures

Employment, Executive Compensation, Public Companies and Securities Set forth below are examples of pay ratio disclosures from recently filed proxies where registrants chose to rely on the median employee identified in the prior year. Sabre... Read more →

by   |   March 10, 2019

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SEC Proposes to Expand “Test-the-Waters” Communications to all Issuers

Public Companies and Securities The SEC has proposed new rules that would permit all issuers to solicit investor views about potential offerings to be taken into account at an earlier stage in the process than... Read more →

by and   |   February 19, 2019