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

FDIC Board Issues Proposed Rule on Dodd-Frank Resolution Authority

US Capitol Building

Banking Read more →

by   |   October 12, 2010

Stacks of Coins

First Meeting of Financial Stability Oversight Council

Banking, Insurance, Private Equity The Financial Stability Oversight Council (sometimes referred to as FSOC) convened its first “Official” meeting on October 1, 2010.  There’s no lack of political... Read more →

by and   |   October 12, 2010

Dodd-Frank and SOX Whistleblower Protections

Public Companies and Securities The cooperation of corporate whistleblowers may be a crucial element of a transparent and fully accountable market place.  However,  many employees with knowledge of violations... Read more →

by   |   October 11, 2010

SEC logo

Dealing With Rating Agencies After Regulation FD Change

Public Companies and Securities As noted, the SEC has removed the rating agency exemption from Regulation FD as required by Section 939B of the Dodd-Frank Act.  Regulation FD provides that when an issuer, or... Read more →

by   |   October 10, 2010

US Capitol Building

Public Companies Will Need Special Board Approval to Enter Into Non-Cleared Swaps

Energy, Public Companies and Securities Title VII of the Dodd-Frank Act broadly requires many swap transactions to be subject to exchange trading and clearing requirements.  However, many end-users of swaps that use... Read more →

by   |   October 9, 2010

Dodd-Frank Corporate Governance

Say-on-Pay Issues — What to Expect this Month from the SEC

Executive Compensation, Public Companies and Securities, Uncategorized The SEC has announced that it expects to issue proposed rules on say-on-pay during October 2010.  This rulemaking is important for public companies because Dodd-Frank mandates... Read more →

by   |   October 8, 2010

Sarbanes-Oxley Prevents Indemnification for Clawback Claims – Dodd-Frank Implications

Executive Compensation, Litigation Sarbanes-Oxley requires executives to reimburse their public company employers for bonuses and profits realized from the sale of company stock for the 12 month period following... Read more →

by   |   October 8, 2010

SEC logo

SEC Delegates Authority Related to SRO Rule Proposals to Facilitate Dodd-Frank Compliance

Public Companies and Securities The Dodd-Frank Wall Street Reform and Consumer Protection Act amended Section 19 of the Exchange Act, 15 U.S.C. 78s(b)(2), so that there are new deadlines by which the SEC must... Read more →

by   |   October 7, 2010

US Capitol Building

SEC Meeting to Consider Security-Based Swaps and Asset-Backed Securities

Public Companies and Securities The SEC has posted a Sunshine Act Notice related to an open meeting to be held on October 13, 2010.  The following matters will be addressed: The SEC will consider whether to... Read more →

by   |   October 6, 2010