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 Chair Clayton’s Statement on Cybersecurity: EDGAR Was Hacked

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Public Companies and Securities SEC Chairman Jay Clayton today issued an unusual statement highlighting the importance of cybersecurity to the agency and market participants, and detailing the agency’s approach to cybersecurity as an organization and as a regulatory body. The statement is part of an ongoing assessment of the SEC’s cybersecurity risk profile that Chairman Clayton initiated upon taking […] Read more →

by   |   September 20, 2017

Effect of the New Revenue Recognition Standard on M&A

M&A FASB’s new revenue recognition standard is expected to have wide ranging effects on M&A transactions. The new revenue recognition standard under GAAP (Accounting... Read more →

by , and   |   September 16, 2017

IG Evaluates SEC’s Disclosure Review and Comment Process

Public Companies and Securities The Office of the Inspector General has issued an evaluation of the Division of Corporation Finance’s disclosure review and comment process. The report begins with a... Read more →

by   |   September 15, 2017

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SEC Identifies Most Frequent Compliance Issues Associated with Advertising by Investment Advisers

Investment Advisers, Private Equity The SEC’s Office of Compliance Inspections and Examinations has provided a list of compliance issues relating to Rule 206(4)-1, which is referred to as the Advertising Rule,... Read more →

by   |   September 14, 2017

MSRB Warns Municipalities, Underwriters and Municipal Advisors about Selective Disclosure

Municipal Advisors Regulation FD prohibits public companies from disclosing material nonpublic information to designated classes of persons such as securities professionals and holders of the... Read more →

by   |   September 13, 2017

Stacks of Coins

SEC Chief Accountant Speaks to Financial Statement Requirements for Initial Coin Offerings

Blockchain Technology, Public Companies and Securities SEC Chief Accountant Wesley R. Bricker recently gave remarks at the AICPA National Conference on Banks & Savings Institutions. Mr. Bricker spoke to the adoption of... Read more →

by   |   September 11, 2017

New House Bill to Broaden Availability of Regulation A

Public Companies and Securities The House of Representatives has overwhelmingly approved legislation to expand the pool of issuers who may rely on the SEC’s Regulation A rules for smaller exempt offerings.... Read more →

by   |   September 11, 2017

New York City Comptroller Launches Campaign for Corporate Board Diversity, Independence, and Climate Expertise

Public Companies and Securities New York City Comptroller Scott M. Stringer and the New York City Pension Funds launched the “Boardroom Accountability Project 2.0.” The campaign seeks to make corporate... Read more →

by   |   September 8, 2017

Duka Beats Fraud Charge in SEC Administrative Court

Litigation Barbara Duka was an employee of Standard & Poor’s Ratings Services. The SEC contended that Duka loosened S&P’s methodology for rating commercial mortgage-backed... Read more →

by   |   August 31, 2017