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

The Domestic Corrupt Practices Act Arrives According to the SEC

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Litigation, Public Companies and Securities The Securities and Exchange Commission announced that the parent company of United Airlines has agreed to pay $2.4 million to settle charges for providing  a public official with more convenient flight options. The parent company did not admit or deny the SEC’s findings. According to the SEC’s order, United reinstated a nonstop flight between Newark, N.J., […] Read more →

by   |   December 2, 2016

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CFPB Outlines Expectations on Incentive Compensation

Banking, Consumer Protection, Employment, Executive Compensation The CFPB issued a bulletin warning supervised financial companies that creating incentives for employees and service providers to meet sales and other business goals can lead to... Read more →

by   |   November 30, 2016

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GAMCO Folds on Rejection of Proxy Access Nominee

Public Companies and Securities As previously noted, National Fuel Gas had rejected a proxy access nominee submitted by GAMCO Asset Management Inc. because of non-conformance with National Fuel’s proxy... Read more →

by   |   November 28, 2016

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First Proxy Access Nominee Rejected

Public Companies and Securities GAMCO Asset Management Inc. made the news when it became the first to submit a nominee for National Fuel Gas’ board of directors using a proxy access by-law. National Fuel... Read more →

by   |   November 25, 2016

FAST

SEC Issues Report on Modernization and Simplification of Regulation S-K Required by FAST Act

Uncategorized Section 72003 of the FAST Act directs the SEC to carry out a study of Regulation S-K’s requirements and to consult with the Commission’s Investor AdvisoryCommittee (the... Read more →

by   |   November 24, 2016

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Conflict Minerals Legislation Coming to the EU

Public Companies and Securities According to this Reuters article and a blog by Elm Sustainability Partners LLC, an informal deal for EU conflict minerals legislation has been reached. The final text will be... Read more →

by   |   November 24, 2016

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Minnesota’s First Crowdfunding Portal Approved, But The Question Remains: Will Anyone Actually Use It?

Crowdfunding On November 9, 2016, the Minnesota Department of Commerce approved the first crowdfunding portal operator, VentureNear.com, under the crowdfunding legislation known as MNvest. As... Read more →

by   |   November 22, 2016

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ISS Announces 2017 Benchmark Policy Updates

Executive Compensation, Public Companies and Securities ISS has announced its 2017 policy changes. Some key changes for the U.S. are discussed below. Restrictions on Binding Shareholder Proposals.  ISS has adopted a new policy when... Read more →

by   |   November 21, 2016

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Trump Risk Factors Begin to Appear in SEC Documents

Public Companies and Securities Risk factors related to uncertainties resulting from possible policies that may be implemented by President-elect Trump have begun to appear in SEC filings: TPI Composites, Inc.... Read more →

by   |   November 18, 2016