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

SEC Staff Provides Relief for Form 10-Qs under Disclosure Simplification Rules

Public Companies and Securities SEC staff recently issued this Compliance and Disclosure Interpretation: Question 105.09 Question: On August 17, 2018, the SEC adopted amendments to certain disclosure requirements in Securities Act Release No. 33-10532, Disclosure Update and Simplification. The amendments will become effective 30 days after publication in the Federal Register. Among the amendments is the requirement to presentthe... Read more →

by   |   September 25, 2018

FTC Speaks to Timing of Consent Orders

M&A The FTC recently spoke about the time it takes review a consent package after FTC staff and the parties formally submit a settlement package to the Director of the Bureau of... Read more →

by   |   September 16, 2018

IRS Issues Guidance on Section 162(m)

Executive Compensation, Public Companies and Securities As noted on our Benefits Notes blog, on August 21, 2018, the IRS issued its initial guidance on the amendments to Section 162(m) made by the Tax Cuts and Jobs Act, in the form of... Read more →

by   |   August 22, 2018

Preliminary Planning for the 2019 Proxy Season

Executive Compensation, Public Companies and Securities For those who want to start preparing for the 2019 proxy season, our preliminary list of important considerations is set forth below: Review 162(m) Disclosures in Proxy Statements... Read more →

by , and   |   August 21, 2018

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Guide to the Effect of the SEC’s Disclosure Simplifications on SEC Filings

Public Companies and Securities The SEC has adopted amendments to its rules to simplify disclosures in filings with the SEC.  The amendments eliminate certain: Redundant and duplicative requirements, which... Read more →

by   |   August 18, 2018

#MeToo Clauses Being Added to Merger Agreements

Employment, M&A, Public Companies and Securities Some merger agreements are starting to include representations and warranties regarding the absence of allegations of sexual harassment against senior officials. Some examples... Read more →

by   |   August 1, 2018

SEC Issues C&DIs on Exempt Solicitations

Public Companies and Securities We recently noted a shareholder proponent had been making aggressive use of Notices of Exempt Solicitation on EDGAR. Exchange Act Rule 14a-6(g)(1) requires that any person who... Read more →

by   |   August 1, 2018

SEC Staff to Hold Roundtable on the Proxy Process

Public Companies and Securities In 2010, the SEC issued a concept release seeking public comment on whether the U.S. proxy system as a whole operates with the accuracy, reliability, transparency, accountability,... Read more →

by   |   July 30, 2018

ISS Launches Annual Global Policy Survey

Public Companies and Securities ISS has launched its annual global policy survey which often foreshadows changes to its voting guidelines. As in 2017, this year’s survey is being conducted in two parts,... Read more →

by   |   July 30, 2018