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

SEC Proposes Rules on Window Dressing

SEC logo

Banking, Insurance, Public Companies and Securities The SEC issued proposed rules on short-term borrowing disclosures.  Separately, the SEC issued an interpretive release on the presentation of liquidity and capital resource disclosures in MD&A disclosures.  The interpretive release will be effective upon publication in the Federal Register.  This rule making was not required by the Dodd-Frank Act but is a response to […] Read more →

by   |   September 17, 2010

SEC logo

SEC Adopts Rules Related to Section 404 Reports for Non-Accelerated Filers

Public Companies and Securities The SEC adopted amendments to its rules and forms to conform them to new Section 404(c) of the Sarbanes-Oxley Act, as added by Section 989G of the Dodd-Frank Act.   Section... Read more →

by   |   September 15, 2010

The “Family Office” Exemption

Private Equity, Public Companies and Securities Another important new exemption is the Act’s amendment of the definition of “investment adviser” in the Advisers Act to exclude “family offices.”  The Act also directs... Read more →

by   |   September 15, 2010

CFTC Speaks on Grandfather Petitions

Banking, Derivatives, Energy, Insurance, Uncategorized Late today, the CFTC made its first public announcements regarding how it would handle petitions for the grandfather relief made available by section 723(c) of the Dodd-Frank Act.... Read more →

by   |   September 10, 2010

US Capitol Building

SEC to Propose Rules on Disclosures Related to Short-Term Borrowings

Banking, Insurance, Public Companies and Securities The SEC has announced that on September 17, 2010 it will hold an open meeting to consider whether to propose rules that would require a public company to provide certain... Read more →

by   |   September 10, 2010

SEC logo

Shareholder Proxy Access Under New Rule 14a-11

Public Companies and Securities The proxy process represents the principal means by which shareholders become informed of and participate in the business to be undertaken at a public company’s annual... Read more →

by   |   September 10, 2010

Dodd-Frank Corporate Governance

Executive Compensation Policy Considerations and Dodd-Frank

Executive Compensation, Public Companies and Securities While the Dodd-Frank Act will continue to pose new and often novel compliance challenges for public companies for the foreseeable future (much like the Sarbanes-Oxley Act did in... Read more →

by   |   September 10, 2010

SEC logo

Proxy Access: What do SEC Filings Reveal?

Executive Compensation, Public Companies and Securities References to Rule 14a-11 are beginning to show up in public filings.  Set forth below are some examples.  The examples show the multitude of ways in which Rule 14a-11 will... Read more →

by   |   September 9, 2010

CFTC to Publish All Outside Meetings Regarding Implementation of Dodd-Frank

Banking, Derivatives, Energy, Insurance In an effort to keep implementation of the Dodd-Frank Act transparent, the CFTC has begun publishing a list of all meetings with outside organizations regarding implementation of... Read more →

by   |   September 8, 2010