Stephen M. Quinlivan

Stephen M. Quinlivan

Stinson Leonard Street

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GAO Says Commerce Department Has Not Complied With Conflict Minerals Obligations

The Government Accountability Office, or GAO, has issued a report noting the SEC issued a rule in 2012 requiring certain companies to disclose the source and chain of custody of necessary conflict minerals in their products....more

7/7/2014 - Compliance Conflict Mineral Rules GAO SEC U.S. Commerce Department

SEC Commissioner Wants Dodd-Frank Wrapped Up

SEC Commissioner Kara M. Stein recently gave remarks on the status of required Dodd-Frank rulemakings. The pay ratio, claw back, conflict minerals and resources extraction rules didn’t really seem all that important to her...more

6/16/2014 - Conflict Mineral Rules Disclosure Requirements Dodd-Frank Rulemaking Process SEC SEC Commissioner

Report Indicates Armed Groups Cede Control of Conflict Minerals Mines in Congo

A report issued by the organization Enough Project indicates market changes spurred by the Dodd-Frank Act’s provisions on conflict minerals have helped to significantly reduce the involvement of armed groups in eastern...more

6/13/2014 - Conflict Mineral Rules Dodd-Frank Mining SEC

SEC Seeks Rehearing of Conflicts Minerals Decision

The SEC has filed documentation with the District of Columbia Court of Appeals seeking an en banc rehearing of the conflict minerals decision. The original decision found that one piece of the disclosure required by the...more

6/2/2014 - American Meat Institute Conflict Mineral Rules Disclosure Disclosure Requirements En Banc Review SEC USDA

Intel Files Conflict Minerals Report

The holy grail (at least so far) of conflict minerals precedents was filed with the SEC albeit perhaps too late for many issuers to wholesale change course. But still excellent for a final form check. ...more

5/23/2014 - Conflict Mineral Rules Intel NAM Reporting Requirements SEC

NAM’s Next Move In Conflict Minerals Case

Now that NAM et al’s emergency stay motion in the conflicts minerals case has been denied, the question is what happens next. Clues can be found in the briefing for the unsuccessful emergency stay motion....more

5/16/2014 - Conflict Mineral Rules Enforcement Actions First Amendment NAM SEC

NAM Motion For Emergency Stay Denied In Conflict Minerals Case

The United States Court of Appeals for the District of Columbia has issued a per curiam order denying NAM’s motion for an emergency stay of the conflict minerals rules. Looked like kind of a moonshot anyway. The order is...more

5/15/2014 - Conflict Mineral Rules First Amendment Motion To Stay NAM SEC

NAM Replies To SEC In Conflict Minerals Emergency Stay

NAM et al have filed their reply brief in the conflict minerals emergency stay hearing. Highlights, many of which are not new points, are...more

5/14/2014 - Conflict Mineral Rules Motion To Stay NAM SEC

Second Conflict Minerals Report Filed

The second Form SD and related conflicts minerals report has been filed. They are interesting documents but may still not be the holy grail of precedents because of, among other things, the use of terms like “Conflict Free...more

5/13/2014 - Conflict Mineral Rules First Amendment Form SD Manufacturers NAD SEC Supply Chain

SEC Response To NAM Motion For Stay Of Conflict Minerals Rules

I hope NAM et al are successful in their motion for a stay of the conflict minerals rules, but it certainly isn’t a slam dunk. The SEC has filed its response to the motion for emergency stay. ...more

5/12/2014 - Conflict Mineral Rules First Amendment Manufacturers NAM SEC

Court Schedules Briefing In Conflict Minerals Emergency Stay Motion

NAM et al’s original motion for an emergency stay in the conflict minerals case requested a decision by May 26, 2014, just ahead of the filing deadline for Form SD. The United States Court of Appeals for the District of...more

5/8/2014 - Appeals Conflict Mineral Rules Form SD Motion To Stay NAM SEC

NAM Files Court Motion For Stay Of Conflict Minerals Rules

NAM et al have filed an emergency motion for stay with the Court of Appeals in the conflict minerals case. As predicted, it is largely a replay of the arguments made when NAM asked the SEC for a stay....more

5/6/2014 - Conflict Mineral Rules Motion To Stay NAM SEC

NAM Likely Headed For Court After SEC Denies Full Stay Of Conflict Minerals Rules

The SEC has denied NAM’s motion for a full stay of the conflict minerals rules. As I indicated, it was somewhat of a hail Mary, but maybe a precondition to asking the court for relief. ...more

5/5/2014 - Conflict Mineral Rules First Amendment Manufacturers NAM SEC

NAM Throws A Hail Mary In Conflicts Minerals Case

When Commissioners Daniel M. Gallagher and Michael S. Piwowar released this Joint Statement on the Conflict Minerals Decision on April 28, 2014, I wondered where it would go. ...more

5/2/2014 - Conflict Mineral Rules Dodd-Frank First Amendment Manufacturers NAM SEC

Conflict Minerals — SEC Says File The Reports — But Don’t Confess Blood On Your Hands

At the core, the court’s first amendment objection to the conflict minerals rules was that by requiring issuers to state its products have not been found to be “DRC conflict free” it compelled an issuer to “confess blood on...more

4/30/2014 - Conflict Mineral Rules Reporting Requirements SEC

Congressional Leaders Tell Mary Jo White To Implement Conflict Minerals Rules Now

In a letter to the SEC Chair, Mary Jo White, Senator Edward J. Markey and a group of other Member of Congress urged the financial oversight agency to implement the rule requiring due diligence and reporting requirements on...more

4/24/2014 - Conflict Mineral Rules Due Diligence Reporting Requirements SEC

Mandate Withheld In Conflicts Minerals Case

In a little known action, the Clerk of Court of the Unites States Court of Appeals for the District of Columbia issued an order in the conflicts minerals case to withhold issuance of a mandate until seven days after...more

4/16/2014 - Conflict Mineral Rules Form SD SEC

Court Invalidates Conflict Minerals Rule Because It Crosses First Amendment Line

In the end, it’s pretty simple. The court held the conflicts minerals rule and statute embodied in Dodd-Frank violate the First Amendment to the extent the statute and rule require regulated entities to report to the...more

4/16/2014 - Conflict Mineral Rules Dodd-Frank First Amendment SEC Supply Chain

SEC Issues More FAQs On Conflict Minerals

The SEC has issued nine additional frequently asked questions, or FAQs, on the SEC’s conflict reporting rules. Some of the highlights are...more

4/7/2014 - Conflict Mineral Rules Due Diligence IPSA SEC

Hopes Are Up For Invalidation Of The Conflict Minerals Rules

We have explained that the District Court upheld the SEC’s conflict minerals rules. Recently, oral argument on the appeal was heard by the U.S. Court of Appeals for the District of Columbia Circuit....more

1/9/2014 - Conflict Mineral Rules SEC

Petition Submitted To SEC For Alternative Conflict Minerals Reporting

A law firm has submitted a rule making petition to the SEC to amend the rule governing the conflict minerals disclosure on Form SD to permit, for a temporary period, an alternative disclosure. The petition states “based upon...more

9/13/2013 - Conflict Mineral Rules Form SD Reporting Requirements SEC

Court Upholds SEC Conflict Minerals Rule

The United States District Court for the District of Columbia has upheld the SEC’s conflict minerals rule in National Association of Manufacturers et al v. Securities and Exchange Commission. ...more

7/25/2013 - Conflict Mineral Rules Dodd-Frank Minerals Natural Resources Resource Extraction SEC

AICPA Addresses Independence On Conflict Minerals Audits

The AICPA has issued non-authoritative guidance which provides that auditing an SEC issuer’s financial statements and performing an independent private sector audit of a conflict minerals report would not be inconsistent with...more

6/12/2013 - AICPA Audits Conflict Mineral Rules Financial Statements SEC

SEC Issues FAQs On Conflict Minerals Rules

The SEC has issued twelve frequently asked questions, or FAQs, on the conflict minerals rules....more

5/31/2013 - Conflict Mineral Rules Form SD SEC

Conflict Minerals And Resource Extraction Challenges Proceed On Accelerated Basis

We previously noted that the challenge to the SEC’s conflict minerals rules was transferred from the Court of Appeals to the United States District Court for the District of Columbia....more

5/21/2013 - Conflict Mineral Rules Mining SEC

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