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

FINRA to SEC: “No Need to Reinvent the Wheel”

Broker-Dealer Not surprisingly, FINRA strongly supports the creation of a new self-regulatory organization to enhance the frequency of examinations of investment advisers – one based on the structure FINRA uses to regulate broker-dealers.  In recent correspondence from FINRA Chairman and Chief Executive Officer Richard Ketchum to SEC Secretary Elizabeth M. Murphy, Chairman Ketchum, citing the SEC’s... Read more →

by   |   November 11, 2010

Examples of Hedging Policies

Public Companies and Securities Section 955 of the Dodd-Frank Act requires the SEC to promulgate rules which require issuers to disclose policies regarding employee and director hedging of equity securities. ... Read more →

by   |   November 10, 2010

CFTC Proposes Anti-Manipulation Rules

Banking, Derivatives, Energy, Insurance, Uncategorized The CFTC has published a Notice of Proposed Rulemaking (NOPR) with respect to its anti-manipulation authority over swaps, commodities, and futures markets under the Dodd-Frank... Read more →

by   |   November 9, 2010

SEC logo

Examples of Effective Say-on-Pay Disclosures

Public Companies and Securities Drafting models for the upcoming proxy season can be found from issuers who voluntarily provided say-on-pay disclosures or were required to do so under banking legislation.  You... Read more →

by   |   November 9, 2010

Stacks of Coins

FDIC Board Proposes Implementation of Dodd-Frank Assessment Changes and a Revised Assessment System for Large Institutions

Banking The Board of Directors of the Federal Deposit Insurance Corporation, or FDIC  approved on November 9, 2010, two proposed rules that would amend the deposit insurance assessment... Read more →

by   |   November 9, 2010

FDIC Approves Rule to Implement Section 343 of Dodd-Frank Act

Banking The Board of Directors of the Federal Deposit Insurance Corporation (FDIC) today approved a final rule to implement section 343 of the Dodd-Frank Wall Street Reform and Consumer... Read more →

by   |   November 9, 2010

Should Public Companies Include the Optional Advisory Vote on Parachute Arrangements?

Executive Compensation, Public Companies and Securities The proposed rules on say-on-pay under Section 951 of the Dodd-Frank Act permit issuers to include an optional advisory vote on golden parachute arrangements in proxy statements... Read more →

by   |   November 5, 2010

Say-On-Pay: Board Recommendations

Public Companies and Securities Section 951 of the Dodd-Frank Act requires advisory say-on-pay votes from shareholders on the compensation of named executive officers, the Compensation Discussion and Analysis,... Read more →

by   |   November 4, 2010

Fed Establishes Office of Financial Stability Policy and Research

Banking The Federal Reserve Board has established the Office of Financial Stability Policy and Research and appointed Board economist J. Nellie Liang as its director.  The office is... Read more →

by   |   November 4, 2010