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

House Committee to Consider Repeal of Conflict Minerals and Mine Safety Disclosures

Public Companies and Securities The House Financial Services Committee has announced it intends to meet to consider mark-ups of bills to repeal the conflicts minerals disclosures (H.R. 4248) and mine safety disclosures (H.R. 4289) on November 14, 2017. I’m guessing both will pass, but I recommend that anyone working on conflicts minerals to continue to work. Bills passed by […] Read more →

by   |   November 11, 2017

U.S. House of Representatives Acts to Create New Category of Exempt Transaction Under the Securities Act of 1933

Broker-Dealer, Consumer Protection, Public Companies and Securities On November 9, 2017, the U.S. House of Representatives passed the Micro Offering Safe Harbor Act.  The vote was largely along party lines, with Rep. Walter Jones from North... Read more →

by   |   November 10, 2017

SEC logo

SEC Staff Releases Pro-Issuer Guidance on Shareholder Proposals

Public Companies and Securities The staff’s release of Staff Legal Bulletin No. 14I (“SLB 14I”) ahead of the upcoming proxy season appears to reflect several issuer-friendly modifications to the staff’s... Read more →

by , and   |   November 2, 2017

Stacks of Coins

SEC Warns Celebrities on Endorsing Initial Coin Offerings

Public Companies and Securities The SEC issued a warning to celebrities and others that endorse initial coin offerings and other investments. The SEC noted: Any celebrity or other individual who promotes a... Read more →

by   |   November 1, 2017

Another Early Adopter Receives SEC Revenue Recognition Comments

Public Companies and Securities Cboe Global Markets, Inc. (f/k/a CBOE Holdings, Inc.) recently received comments on its Form 10-Q related to FASB’s new revenue recognition standard. The SEC comments were:... Read more →

by   |   October 27, 2017

ISS Seeks Comment on Updated Policies Including Gender Pay Gap

Employment, Executive Compensation, Public Companies and Securities ISS has made available for public comment certain proposed changes to ISS’ benchmark voting policies for 2018 that could generally become effective for the upcoming proxy... Read more →

by , and   |   October 27, 2017

It’s “Nasdaq”, not “NASDAQ”, According to Nasdaq

Public Companies and Securities Nasdaq has filed an immediately effective rule change with the SEC to reflect a corporate branding change to Nasdaq’s name. Specifically, current references in... Read more →

by   |   October 24, 2017

SEC Approves PCAOB’s Changes to Audit Reports

Public Companies and Securities The SEC has approved the Public Company Accounting Oversight Board’s (“PCAOB”) new standard for audit reports on public company financial statements. The new... Read more →

by , and   |   October 24, 2017

ISS Policy Application Survey Highlights Director Pay and Gender Pay Gap

Executive Compensation, Public Companies and Securities This year ISS conducted two surveys. One was a high-level survey covering a small number of fundamental and high-profile topics.  We reported the results here.  ISS has now... Read more →

by   |   October 19, 2017