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

Treasury Issues Plan to Streamline Capital Markets Regulation

US Capitol Building

Public Companies and Securities Pursuant to Executive Order 13772, the Treasury Department has issued a report that identifies laws, treaties, regulations, guidance, reporting and record keeping requirements, and other government policies that promote or inhibit Federal regulation of the U.S. financial system in a manner consistent with President Trump’s core principles. Treasury’s recommendations set forth in the report... Read more →

by   |   October 6, 2017

Alleged Illegal Strategy Disclosed in 10-K Excuses Demand in Suit against Directors

Public Companies and Securities The Delaware Court of Chancery decision in Kandell v. Niv is based on highly unusual facts but aids in the understanding of some basic elements of the fiduciary duties of... Read more →

by   |   October 1, 2017

Stacks of Coins

SEC Busts Fraudulent Initial Coin Offerings

Litigation The SEC charged a businessman and two companies with defrauding investors in a pair of so-called initial coin offerings, or ICOs, purportedly backed by investments in real estate... Read more →

by   |   September 29, 2017

Public M&A Deal Addresses New Revenue Recognition Standard

M&A A recent public company acquisition transaction addresses FASB’s new revenue recognition standard. In the transaction, Envestnet (NYSE: ENV), a provider of systems for... Read more →

by   |   September 27, 2017

ISS Announces Results of 2018 Benchmark Voting Policy Survey

Public Companies and Securities ISS released the results of its annual global benchmark voting policy survey. ISS received 602 total responses to this year’s survey, of which 129 were from institutional... Read more →

by   |   September 25, 2017

SEC Comments Begin for Early Adopters of Revenue Recognition

Public Companies and Securities Some people don’t believe in blazing trails and adopting public reporting standards before you have to. They think you’re sticking your neck out, and will become a... Read more →

by   |   September 24, 2017

SEC Issues Guidance on Pay Ratio Rule

Executive Compensation, Public Companies and Securities Two major pieces of guidance emerged from the SEC on September 21, 2017, with respect to the pay ratio rule. First, the Commission issued interpretive guidance on the rule. ... Read more →

by   |   September 21, 2017

SEC Charges Platinum Equity for Misallocation of Broken Deal Expenses

M&A, Private Equity The SEC announced a settled action against Beverly Hills-based investment adviser, Platinum Equity Advisors, LLC, for charging three of its private equity fund clients with about... Read more →

by   |   September 21, 2017

CFTC Files Its First Anti-Fraud Enforcement Action Involving Bitcoin

Litigation The CFTC filed a federal civil enforcement action in the U.S. District Court for the Southern District of New York against Defendants Nicholas Gelfman, of Brooklyn, New York, and... Read more →

by   |   September 21, 2017