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

House Passes JOBS and Investor Confidence Act of 2018

Broker-Dealer, Investment Advisers, M&A, Public Companies and Securities The United States House of Representatives passed the bipartisan JOBS and Investor Confidence Act of 2018, which is often referred to as JOBS Act 3.0. The bill is comprised of 32 individual pieces of legislation that have passed the Financial Services Committee or the House this Congress with broad bipartisan support.  You can find a […] Read more →

by   |   July 17, 2018

SEC Charges Hedge Fund with 13D Violation

Investment Advisers, Litigation, Private Equity, Public Companies and Securities The SEC charged a hedge fund sponsor that manages private funds and separately managed accounts focused on global distressed, special situations, and opportunistic investing with... Read more →

by   |   July 16, 2018

US Capitol Building

Jobs Act 3.0

Public Companies and Securities, Uncategorized This statement from Congresswoman Maxine Waters (D-CA), Ranking Member of the House Committee on Financial Services, confirms the House continues to work on JOBS Act 3.0. The... Read more →

by   |   July 12, 2018

SEC Targets Perqs in Another Enforcement Action

Employment, Executive Compensation, Litigation, Public Companies and Securities The SEC has targeted disclosure of executive perquisites in another settled enforcement action.  According to the SEC, the issuer did not follow the Commission’s standard... Read more →

by   |   July 4, 2018

SEC Tags Private Equity Group for Accelerated Fees

Litigation, Private Equity The SEC entered into an agreed settlement with a private equity group for receiving accelerated fees without the consent of all necessary parties prior to the commitment of... Read more →

by   |   July 3, 2018

Changes to SEC Forms as a Result of Inline XBRL and Revised Smaller Reporting Company Definition

Public Companies and Securities As we noted here, the SEC has issued final rules regarding the mandatory use of Inline XBRL and revising the definition of smaller reporting companies, or SRCs. Inline XBRL The... Read more →

by   |   July 1, 2018

SEC logo

SEC Reduces Thresholds for Smaller Reporting Company Definition and Requires Mandatory Use of Inline XBRL

Executive Compensation, Public Companies and Securities The SEC has long recognized that smaller issuers should be subject to somewhat less stringent disclosure standards than larger companies. The SEC has referred to this as... Read more →

by , and   |   June 29, 2018

Supreme Court Finds Appointment of SEC ALJs Unconstitutional – What’s Next?

Litigation, Public Companies and Securities In Lucia v. Securities and Exchange Commission, the SEC brought an administrative action before one of its administrative law judges, or ALJ’s, against Raymond Lucia for... Read more →

by   |   June 24, 2018

SEC Comments Begin on First Quarter Revenue Recognition Disclosures

Public Companies and Securities Many public companies became subject to the new revenue recognition rules when they filed their first quarter Form 10-Qs in 2018. It appears the SEC may not have wasted any time... Read more →

by   |   June 18, 2018