Stinson Leonard Street - Dodd-Frank and the Jobs Act

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Firm Profile: Stinson Leonard Street
150 South Fifth Street
Suite 2300
Minneapolis, MN 55402, United States
Contact: Steve Quinlivan, Communications and Public Relations Manager
Phone: 612.335.7076
Fax: 612.335.1657
Areas of Practice
  • Energy & Utilities
  • Finance & Banking
  • Government
  • Insurance
  • Labor & Employment Law
  • Mergers & Acquisitions
  • Securities Law
Locations
Other U.S. Locations
  • D.C.
  • Minnesota
  • North Dakota

Nasdaq Proposes Changes to Shareholder Approval Rule for 20% Issuances

Nasdaq has proposed to amend its rule regarding shareholder approval for certain securities issuances. Currently the rule requires shareholder approval for security issuances for less than the greater of book or market value…more
 /  Commercial Law & Contracts, Securities Law

SEC Approves NYSE Rule Change to Facilitate Listing Without an IPO

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…more
 /  Commercial Law & Contracts, Securities Law

ISS Proxy Research Reports to Include Environmental, Social, and Governance QualityScores

Institutional Shareholder Services Inc., or ISS, announced the launch of Environmental & Social QualityScore, a new component of ISS’ corporate profiling and scoring solution for institutional investors…more
 /  Commercial Law & Contracts, Securities Law

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

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 recently filed Form 10-Qs in accordance with SAB 118…more
 /  Commercial Law & Contracts, Securities Law, Taxation

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

The SEC Office of Minority and Women Inclusion, or OMWI, invited entities regulated by the SEC to submit a Diversity Assessment Report…more
 /  Commercial Law & Contracts, Finance & Banking, Securities Law

SEC Chair Clayton Warns Lawyers on Initial Coin Offerings

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 gatekeepers, need to act responsibly and hold…more
 /  Commercial Law & Contracts, Finance & Banking, Science, Computers, & Technology, Securities Law

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

As we noted, 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 public announcement with respect to a dividend or stock…more
 /  Commercial Law & Contracts, Securities Law

SEC Nixes 40 Act Registration of Cryptocurrency Related Funds for Now

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 to 1940 Act registration of cryptocurrency…more
 /  Commercial Law & Contracts, Finance & Banking, Science, Computers, & Technology, Securities Law

FASB to Revise Accounting for Tax Act

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 input, FASB has tentatively decided to revise GAAP…more
 /  Commercial Law & Contracts, Finance & Banking, Insurance, Securities Law, Taxation

Initial Tax Disclosures Regarding 162(m) in Proxy Statements

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, effective for taxable years beginning after…more
 /  Commercial Law & Contracts, Elections & Politics, Securities Law, Taxation

New Tax Act Disclosures, Explanations and Examples

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 often obscure GAAP accounting driving many of the…more
 /  Commercial Law & Contracts, Elections & Politics, Securities Law, Taxation

Pay Ratio Disclosure Checklist

Calculating pay ratios for public companies can be a difficult and time-consuming project. While recent interpretative guidance from the Commission has provided additional flexibility in this process, public companies still…more
 /  Commercial Law & Contracts, Securities Law

SEC Denies No Action Request Despite Board Analysis under SLB 14I

Apple sought to exclude a shareholder proposal regarding the establishment of a Human Rights Committee on the basis that it involved the company’s ordinary business operations under Rule 14a-8(i)(7)…more
 /  Commercial Law & Contracts, Securities Law

SEC Guidance on Accounting for the Tax Cuts and Jobs Act and Form 8-K Obligations

As Christmas Eve approached with vacations and holiday shopping in full swing, President Trump signed the Tax Cut and Jobs Act and the SEC promptly issued guidance to public companies on related accounting matters. Perhaps most…more
 /  Commercial Law & Contracts, Elections & Politics, Securities Law, Taxation

SEC Charges CEO/Director with Sarb-Ox Loan Violations for Unreimbursed Advances that Were Outstanding for 5 to 36 Days and Misleading Independence Assertions

According to the SEC in an order settling an enforcement action, Alan Shortall was CEO and Chairman of Unilife Corporation, a Nasdaq listed issuer. According to the SEC, Shortall arranged for Unilife to make personal payments on…more
 /  Commercial Law & Contracts, Finance & Banking, Securities Law
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