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

First Form AP Filed with the PCAOB

Public Companies and Securities Grant Thornton LLP became the first registered public accounting firm to file a Form AP with the PCAOB. Form AP currently requires identification of the engagement audit partner associated with certain SEC filings and the related Partner ID. Later this year the Form will also be required to include information for other audit partners participating […] Read more →

by   |   February 1, 2017

SEC Reconsidering Conflict Minerals Implementation

Public Companies and Securities SEC Acting Chairman Michael S. Piwowar issued a “Statement on the Commission’s Conflict Minerals Rule” and another statement titled “Reconsideration of... Read more →

by   |   January 31, 2017

SEC Simplifies Filing of Broker-Dealer Annual Reports on EDGAR

Broker-Dealer The SEC has previously provided guidance on the filing of annual and supplemental reports required under Rule 17a-5 or Rule 17a-12 by broker-dealers or over-the-counter... Read more →

by   |   January 30, 2017

House Seeking to Disapprove the Resource Extraction Rule

Public Companies and Securities On Wednesday, February 1, 2017, the House of Representatives is scheduled to consider a joint resolution of disapproval of the SEC’s resource extraction rule. This... Read more →

by   |   January 30, 2017

Two Regulations to be Eliminated for Every New One: Trump’s Executive Order

Trump Fulfilling a campaign promise set forth in President Trump’s Contract with the American Voter, President Trump has signed an executive order to implement a requirement that... Read more →

by   |   January 30, 2017

Details of Trump’s Regulatory Freeze

Uncategorized [Update:  See our blog on President Trump’s executive order to implement a requirement that for every new federal regulation, two existing regulations must be eliminated.]... Read more →

by   |   January 20, 2017

SEC Brings Enforcement Action for Disclosure Failures During Merger Talks

Litigation, M&A The SEC announced that Allergan Inc. had agreed to admit securities law violations and pay a $15 million penalty for disclosure failures in the wake of a hostile takeover bid. The... Read more →

by   |   January 20, 2017

Pay-to-Play Enforcement Sweep Snares Private Equity and Venture Capital

Litigation, Private Equity On January 17, 2017, the SEC announced nine settled enforcement actions for violations of the pay-to-pay rule against private equity, venture capital and hedge fund sponsors. The... Read more →

by   |   January 20, 2017

House Acts to Place Additional Limitations on SEC Rulemaking

Public Companies and Securities With its passage of the SEC Regulatory Accountability Act last week, the U.S. House of Representatives has taken action to place additional constraints on future rulemaking by the... Read more →

by   |   January 17, 2017