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 Approves NYSE Rule Change to Facilitate Listing Without an IPO

Public Companies and Securities The SEC has approved a rule change to the NYSE listing standards to facilitate the listing of an issuer without conduction an IPO. According to the NYSE, the rule change is necessary to compete for listings that might otherwise by listed on NASDAQ. As revised, the NYSE will, on a case by case basis, exercise […] Read more →

by   |   February 3, 2018

Drafting 10-K Disclosures for the Tax Cuts and Jobs Act

Public Companies and Securities Public companies with fiscal quarters ended December 31, 2017, but not fiscal year ends, are beginning to make disclosures showing the effects of the Tax Cuts and Jobs Act in... Read more →

by   |   January 25, 2018

SEC logo

SEC Invites Regulated Entities to Voluntarily Submit Self-Assessments of Diversity Policies and Practices

Broker-Dealer, Employment, Investment Advisers, Municipal Advisors, Private Equity The SEC Office of Minority and Women Inclusion, or OMWI, invited entities regulated by the SEC to submit a Diversity Assessment Report. Entities regulated by the SEC include... Read more →

by   |   January 25, 2018

Stacks of Coins

SEC Chair Clayton Warns Lawyers on Initial Coin Offerings

Blockchain Technology, Public Companies and Securities SEC Chair Clayton delivered the following remarks at a conference of securities professionals: “My first message is simple and a bit stern. Market professionals, especially... Read more →

by   |   January 22, 2018

NYSE Rule Change Regarding Dividend Notifications to be Effective February 1, 2018

Public Companies and Securities As we noted here, the NYSE proposed, and the SEC approved, a rule change to require NYSE listed companies to provide notice to the NYSE at least ten minutes before making any... Read more →

by   |   January 19, 2018

SEC Nixes 40 Act Registration of Cryptocurrency Related Funds for Now

Blockchain Technology, Public Companies and Securities In a letter to representatives of the Investment Company Institute and the Securities Industry and Financial Markets Association, the SEC staff indicated it would not be receptive... Read more →

by   |   January 18, 2018

FASB to Revise Accounting for Tax Act

Public Companies and Securities FASB received unsolicited input from banks and insurance companies and related trade groups on the accounting for what is referred to as the Tax Cuts and Jobs Act. Based on the... Read more →

by   |   January 12, 2018

Initial Tax Disclosures Regarding 162(m) in Proxy Statements

Employment, Executive Compensation, Public Companies and Securities Many know that the Section 162(m) deduction limit for performance-based compensation has been repealed by the recent tax legislation together with implementation of other changes,... Read more →

by   |   January 5, 2018

New Tax Act Disclosures, Explanations and Examples

Employment, Executive Compensation, Public Companies and Securities Disclosures regarding the new tax act, often referred to as the Tax Cuts and Jobs Act or TCJA, continue to be prominent in SEC filings. Set forth blow is an explanation of the... Read more →

by   |   January 1, 2018