Stinson Leonard Street 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 Proposes Clawback Rules—A Comprehensive Summary

claw back

Employment, Executive Compensation, Public Companies and Securities The SEC has proposed new rules to implement Section 954 of the Dodd-Frank Act, which added Section 10D to the Securities Exchange Act of 1934. Section 10D requires the Commission to adopt rules directing the national securities exchanges and national securities associations to prohibit the listing of any security of an issuer that is not […] Read more →

by   |   July 2, 2015

executive compensation

Executive Compensation Paid to Controlling Shareholders Subject to Business Judgment Review When Approved by an Independent Committee

Employment, Executive Compensation, Litigation Members of the Dolan family hold 73% of the voting power of Cablevision Systems Corporation’s stock.  A shareholder commenced a derivative action regarding the executive... Read more →

by   |   July 1, 2015


Vanishing Regulation A+ Filings

Public Companies and Securities The CrowdCheck Blog has an interesting post on “The case of the vanishing Form 1-A filings.”  Most everything that was filed to date has disappeared, probably because... Read more →

by   |   June 29, 2015


SEC Charges KKR With Misallocating Broken Deal Expenses

Investment Advisers, Litigation, M&A, Private Equity Everyone knew the SEC would pursue a marquee-name private equity sponsor for misallocating expenses.  It finally happened, with KKR settling charges for misallocating “broken... Read more →

by   |   June 29, 2015

CFPB logo

CFPB Publishes Over 7,700 Consumer Complaint Narratives About Financial Companies

Banking, Consumer Protection The CFPB has gone live with an enhanced customer complaint data base. It now includes over 7,700 consumer descriptions of alleged problems they are facing with financial companies... Read more →

by   |   June 26, 2015


SEC Proposes Significant Reporting Requirement Amendments to Form ADV

Broker-Dealer, Investment Advisers On May 20, 2015, the Securities and Exchange Commission (SEC) released several proposals, “Amendments to Form ADV and Investment Advisers Act Rules,” that would... Read more →

by   |   June 25, 2015

claw back

SEC Meeting to Consider Compensation Clawback Proposal

Employment, Executive Compensation, Public Companies and Securities The SEC has announced an open meeting to consider clawback of executive compensation under Section 954 of the Dodd-Frank Act to be held on July 1, 2015.  According to the notice... Read more →

by   |   June 25, 2015

CFPB logo

Update: CFPB Issues Proposed Amendment to Delay Know Before You Owe Rule

Banking, Consumer Protection On June 24 the CFPB published its proposed rule for extending the effective date for implementation of the Know Before You Owe Rule to October 3, 2015.  The public has until July... Read more →

by   |   June 25, 2015

Question mark

SEC Publishes 11 Regulation A+ CD&Is

Public Companies and Securities The SEC has published 11 Compliance and Disclosure Interpretations related to Regulation A+ — numbered 182.01 through 182.11 under Securities Act Rules.  Highlights are:... Read more →

by   |   June 23, 2015