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

Preliminary Planning for the 2017 Proxy Season

shareholders

Public Companies and Securities For those who want to start preparing for the 2017 proxy season, our preliminary list of important considerations is set forth below: Directors’ and Officer’s Questionnaire Nasdaq has adopted a rule requiring disclosure of director “golden leash” compensation arrangements. Nasdaq listed issuers may wish to revise their directors’ and officers’ questionnaires to elicit... Read more →

by and   |   August 31, 2016

transition

SEC Proposes Amendments to Require Hyperlinks to Exhibits in Filings

Public Companies and Securities The SEC has proposed rule and form amendments that would require registrants to include a hyperlink to exhibits in their filings. The proposed amendments would require registrants... Read more →

by   |   August 31, 2016

whistleblower

Recent SEC Enforcement Actions Prompt Consideration of Whistleblower Carve-outs

Employment, Litigation, Public Companies and Securities The recent settlement of SEC enforcement actions concerning the Dodd Frank Act’s whistleblower provisions are prompting companies and their counsels to evaluate current and... Read more →

by   |   August 30, 2016

SEC logo

SEC Awards Culpable Whistleblower $22 Million

Employment, Public Companies and Securities The SEC announced the award of more than $22 million to a whistleblower whose detailed tip and extensive assistance helped the agency halt a well-hidden fraud at the company where... Read more →

by   |   August 30, 2016

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SEC Requests Comment on Corporate Governance, Management and Security Holder Matters

Public Companies and Securities The SEC is requesting public comment on certain disclosure requirements in Regulation S-K relating to management, certain security holders, and corporate governance matters... Read more →

by   |   August 27, 2016

GAO Seal

GAO Says Companies Face Continuing Challenges in Determining Whether Their Conflict Minerals Benefit Armed Groups

Public Companies and Securities GAO noted in a recent report that as a result of country-of-origin inquiries, an estimated 19 percent more companies that filed Form SD with the SEC reported that they knew or had... Read more →

by   |   August 27, 2016

SEC logo

SEC Updates Form ADV

Investment Advisers, Private Equity The SEC has adopted final rules requiring investment advisers to provide additional information on Form ADV and other matters. You can find our analysis on the proposed rules... Read more →

by   |   August 25, 2016

enforcement

SEC Busts Apollo for Disclosure and Supervisory Failures

Investment Advisers, Litigation, M&A, Private Equity The SEC charged four private equity fund advisers affiliated with Apollo Global Management for misleading fund investors about fees and a loan agreement and failing to supervise a... Read more →

by   |   August 23, 2016

red tape

FINRA Relaxes Rules for M&A and Private Placement Brokers

M&A The SEC has approved a series of FINRA rules that are meant to simplify regulation of firms engaged as M&A brokers and those who conduct other limited activities. While the... Read more →

by   |   August 19, 2016