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 to Propose Rules on Disclosures Related to Short-Term Borrowings

US Capitol Building

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 disclosures about its short-term borrowings in its filings with the Commission. The Commission will also consider whether to publish an interpretive release to provide guidance regarding […] Read more →

by   |   September 10, 2010

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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

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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

US Capitol Building

SEC, CFTC To Host Joint September Roundtables On Swap and Security-Based Swap Matters

Banking, Energy, Insurance, Public Companies and Securities Staff from the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) will hold two joint public roundtables in September on issues relating to... Read more →

by   |   September 8, 2010

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NYSE Submits Proposed Rule to SEC on Elimination of Broker Discretionary Voting on Executive Compensation Matters

Executive Compensation, Public Companies and Securities Pursuant to Section 957 of the Dodd-Frank Act, the New York Stock Exchange submitted a proposal to amend NYSE Rule 452 and NYSE Listed Company Manual Section 402.08 to prohibit... Read more →

by   |   September 7, 2010

Stacks of Coins

Municipal Advisers Must Register With the SEC by October 1

Banking, Insurance, Public Companies and Securities The Securities and Exchange Commission announced on September 2, 2010, that it has adopted a temporary rule requiring municipal advisors to register with the SEC by October 1, a... Read more →

by   |   September 2, 2010

Dodd-Frank Corporate Governance

You Received a Proxy Access Notice — Now What?

Public Companies and Securities Upon receipt of a notice of a shareholder nominee under the proxy access rules, public companies have a series of decisions to make with tight time lines imposed by the new proxy... Read more →

by   |   September 1, 2010