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

Preliminary Planning for the 2019 Proxy Season

Executive Compensation, Public Companies and Securities For those who want to start preparing for the 2019 proxy season, our preliminary list of important considerations is set forth below: Review 162(m) Disclosures in Proxy Statements We recommend issuers review their Section 162(m) disclosures in proxy statements. As noted on our Benefits Notes blog, on August 21, 2018, the IRS issued its initial […] Read more →

by , and   |   August 21, 2018

SEC logo

Guide to the Effect of the SEC’s Disclosure Simplifications on SEC Filings

Public Companies and Securities The SEC has adopted amendments to its rules to simplify disclosures in filings with the SEC.  The amendments eliminate certain: Redundant and duplicative requirements, which... Read more →

by   |   August 18, 2018

#MeToo Clauses Being Added to Merger Agreements

Employment, M&A, Public Companies and Securities Some merger agreements are starting to include representations and warranties regarding the absence of allegations of sexual harassment against senior officials. Some examples... Read more →

by   |   August 1, 2018

SEC Issues C&DIs on Exempt Solicitations

Public Companies and Securities We recently noted a shareholder proponent had been making aggressive use of Notices of Exempt Solicitation on EDGAR. Exchange Act Rule 14a-6(g)(1) requires that any person who... Read more →

by   |   August 1, 2018

SEC Staff to Hold Roundtable on the Proxy Process

Public Companies and Securities In 2010, the SEC issued a concept release seeking public comment on whether the U.S. proxy system as a whole operates with the accuracy, reliability, transparency, accountability,... Read more →

by   |   July 30, 2018

ISS Launches Annual Global Policy Survey

Public Companies and Securities ISS has launched its annual global policy survey which often foreshadows changes to its voting guidelines. As in 2017, this year’s survey is being conducted in two parts,... Read more →

by   |   July 30, 2018

SEC logo

Commission Disapproves BZX Rule Change to List Winklevoss Bitcoin Trust

Public Companies and Securities Previously, the Bats BZX Exchange, Inc. filed a proposed rule change with the Commission, seeking to list and trade shares of the Winklevoss Bitcoin Trust. The SEC Division of... Read more →

by   |   July 26, 2018

Shareholder Proponent Gets Aggressive with Exempt Solicitations

Public Companies and Securities We have noted an aggressive use of exempt solicitations by a shareholder proponent following the annual meeting when the solicitation is complete or making preemptive strikes... Read more →

by   |   July 25, 2018

Recent SEC Comments on Revenue Recognition

Public Companies and Securities For those of you who still have time or can tweak your second quarter 10-Q, we have noticed these recent comments on revenue recognition: Netflix, Inc. Please provide us with your... Read more →

by   |   July 25, 2018