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 »

Dodd-Frank Blog

Examples of Brexit Disclosures in SEC Filings

SEC logo

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

SEC logo

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

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SEC Proposes Increasing Threshold to Qualify as a Smaller Reporting Company

Public Companies and Securities The SEC has proposed amendments that would increase the financial thresholds in the “smaller reporting company” definition. The proposal to update the definition would expand... Read more →

by   |   June 27, 2016

social media

Tesla, SolarCity and Social Media

M&A, Public Companies and Securities Tesla, in an offer to acquire SolarCity, appears to be the first to announce a major proposed acquisition by a blog post. Since an 8-K was also filed, it can’t be sole proof... Read more →

by   |   June 21, 2016

hedge fund

Pending Legislation Would Streamline Regulation of Private Equity

M&A, Private Equity On June 16, 2016, the House Financial Services Committee approved the Investment Advisers Modernization Act of 2016 (H.R. 5424) as part of a package of several economic growth... Read more →

by   |   June 17, 2016

Endrud.Nate.web

CFTC Supplemental Proposal Would Authorize Exchanges to Administer More Flexible Approach to Bona Fide Hedge Exemption to Position Limits

Derivatives, Energy The CFTC has published a proposed supplement to its December 2013 proposed rule on position limits* that would, among other things, authorize designated contract markets and swap... Read more →

by   |   June 14, 2016

job creation just ahead

Court Rejects Regulation A+ Challenge

Public Companies and Securities The States of Montana and Massachusetts had previously challenged Regulation A+’s preemption of state securities registration and qualification requirements in Tier-2... Read more →

by   |   June 14, 2016