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Results: 1-10 of 15

Sarbanes-Oxley prevents indemnification for clawback claims - Dodd-Frank implications

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • October 8 2010

Sarbanes-Oxley requires executives to reimburse their public company employers for bonuses and profits realized from the sale of company stock for the 12 month period following the filing of a false financial report that requires a financial statement restatement

Dodd-Frank vs. reality

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • January 3 2011

Last week the SEC "was persuaded" to extend the compliance date for Dodd-Frank Act's requirement that registered investment advisers provide their clients with brochure supplements written in plain English

Some ruminations on the JOBS Act’s Regulation D provisions

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • March 29 2012

The Dodd-Frank Act was overarching, cumbersome and, from its inception, has created much ongoing regulatory uncertainty

Comments on SEC study regarding obligations of brokers, dealers, and investment advisers

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • August 25 2010

In a recent posting we highlighted issues surrounding the imposition of a fiduciary standard on broker-dealers

EPA makes it official: greenhouse gases threaten public health and welfare

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • December 11 2009

On December 7, 2009, the U.S. Environmental Protection Agency issued a final determination that officially declared six greenhouse gases are a threat to public health and welfare

Recent SEC actions on broker voting, executive stock options, compensation and corporate governance and shareholder access to proxy statements

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • July 10 2009

The Securities and Exchange Commission (SEC) recently approved a New York Stock Exchange (NYSE) proposal to eliminate broker discretionary voting for directors and a Chicago Board Options Exchange proposal related to stock options

FINRA ups the retail customer disclosure ante

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • October 28 2010

The Dodd-Frank Act clearly emphasized the need to clarify the ongoing confusion, especially in the eyes of the retail investing public, of the distinctions between broker-dealers and investment advisers

Advance notice of rule making on use of credit ratings

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • August 13 2010

The Office of the Comptroller of the Currency, Board of Governors of the Federal Reserve System, and the Federal Deposit Insurance Corporation, issued an advance notice of rule making regarding alternatives to the use of credit ratings in the regulatory capital guidelines

Will whistleblower claims give rise to more SEC enforcement actions?

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • December 9 2010

The Dodd-Frank Act's whistleblower protection provisions will go into effect no later than nine months after July 22, 2010

FINRA to SEC: “no need to reinvent the wheel”

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • November 11 2010

Not surprisingly, FINRA strongly supports the creation of a new self-regulatory organization to enhance the frequency of examinations of investment advisers - one based on the structure FINRA uses to regulate broker-dealers