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

Examples of Social Media in M&A Transactions

social media

Public Companies and Securities In April 2014, the SEC provided guidance on the use of social media in M&A and other contexts. Companies have begun to cautiously make use of the guidance but the flood gates haven’t exactly opened. Comcast-Time Warner If you go by volume of filings, this transaction is the leader in the use of social media. […] Read more →

by   |   July 20, 2014

SEC logo

When is a Consultant an Executive Officer? – SEC Brings Another Case

Employment, Litigation, Public Companies and Securities The SEC has instituted administrative proceedings against a registrant and others alleging that two individuals with prior law violations secretly controlled the operational and... Read more →

by   |   July 16, 2014

Sun Illustration 300dpi

Due Process Requires US Committee on Foreign Investment to Let the Sunshine In

Energy On July 15 the United States Court of Appeals for the District of Columbia Circuit told CFIUS (the Committee on Foreign Investment in the United States) that constitutional due... Read more →

by   |   July 16, 2014

conflict minerals

Conflict Minerals: SEC Position on Non-Metallic Forms of Tin

Public Companies and Securities, Uncategorized Shortly before the filing deadline for the first conflict minerals filings on Form SD, it became known that the SEC believed non-metallic forms of tin are not conflict minerals... Read more →

by   |   July 15, 2014

FSOC

FSOC = Firing Squad On Capitalism Says SEC Commissioner

Banking, Broker-Dealer, Insurance Speaking at a conference, SEC Commissioner Michael S. Piwowar’s opening remarks included “In preparing for this speech, I thought a lot about what moniker I could use to best... Read more →

by   |   July 15, 2014

Scale and Gavel

Examples of Fee Shifting By-Laws

Litigation, Public Companies and Securities Some smaller companies and those in the process of going public have begun adopting fee shifting by-laws.  As my colleagues at Stinson Leonard Street have advised, we urge... Read more →

by   |   July 12, 2014

private equity

SEC Provides Guidance to Private Equity on Seller Escrows

Investment Advisers, Private Equity The SEC has issued guidance to registered private equity advisers regarding escrow arrangements resulting from the sale of a portfolio company.  The guidance revolves around a... Read more →

by   |   July 10, 2014

CFPB logo

CFPB Clarifies Heirs, Divorcees and Estate Planning Transferees Are Not Subject to Ability-to-Repay Rules

Consumer Protection, Uncategorized The CFPB issued an interpretive rule to clarify that when a borrower dies, the name of the borrower’s heir generally may be added to the mortgage without triggering the... Read more →

by   |   July 10, 2014

NASAA

Electronic Blue Sky Filings: NASAA Proposes Model State Rules

Investment Advisers, Private Equity, Public Companies and Securities The North American Securities Administrators Association, Inc. (NASAA) has released model rules relating to the use of its Electronic Filing Depository (EFD) system for Form D and... Read more →

by   |   July 9, 2014