Stinson Leonard Street 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

IOSCO Speaks to ESG Disclosures

Public Companies and Securities The International Organization of Securities Commissions, or IOSCO, published a statement setting out the importance for issuers of considering the inclusion of environmental, social and governance, or ESG, matters when disclosing information material to investors’ decisions. According to IOSCO, issuers are encouraged to consider the materiality of ESG matters to their business and to assess […] Read more →

by   |   January 22, 2019

Revising 162(m) Disclosures in Proxy Statements

Employment, Executive Compensation, Public Companies and Securities The Section 162(m) deduction limit for performance-based compensation was repealed by the Tax Cut and Jobs Act, effective for taxable years beginning after December 31, 2017,... Read more →

by   |   January 9, 2019

SEC Adopts Rules to Permit Public Companies to Use Regulation A+

Public Companies and Securities As required by the Economic Growth, Regulatory Relied and Consumer Protection Act, the SEC has adopted final rules which will permit public companies to rely on the exemption from... Read more →

by   |   January 4, 2019

SEC Initiates Enforcement Action for Failure to Present GAAP with Equal or Greater Prominence

Litigation, Public Companies and Securities The SEC brought a settled enforcement action against ADT Inc. because it did not afford equal or greater prominence to comparable GAAP financial measures in two of its earnings... Read more →

by   |   January 1, 2019

SEC Finalizes Dodd-Frank Hedging Rules

Public Companies and Securities On December 18, 2018, the SEC approved final rules on hedging that require companies to disclose practices or policies related to the ability of employees or directors to engage... Read more →

by   |   December 19, 2018

The First CAM

Public Companies and Securities The first CAM I am aware of is in this SEC filing: Critical Audit Matter The critical audit matter communicated below is a matter arising from the current period audit of the... Read more →

by   |   December 11, 2018

SEC logo

SEC Brings Enforcement Action for Failure to Verify Accredited Investor Status

Litigation, Public Companies and Securities CoinAlpha Advisors LLC was formed for the purpose of investing in digital assets. From October 2017 through May 2018 CoinAlpha raised approximately $600,000 from 22 investors,... Read more →

by   |   December 8, 2018

Stacks of Coins

Court Refuses to Issue Preliminary Injunction to Halt Initial Coin Offering

Litigation, Public Companies and Securities, Uncategorized In SEC v. Blockvest, LLC, the United States District Court for the Southern District of California examined the SEC’s argument for a preliminary injunction halting an initial... Read more →

by   |   December 2, 2018

Failure to Provide Audited Financial Statements Precludes Reliance on Corwin

M&A, Private Equity, Public Companies and Securities In Re Tangoe, Inc. Stockholders Litigation was one of those situations where everything that could go wrong did.  According to the Plaintiff, the Tangoe directors breached their... Read more →

by   |   November 24, 2018