Stephen M. Quinlivan

Stephen M. Quinlivan

Stinson Leonard Street

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SEC Exams to Focus on Sales of Retirement Products

The SEC Office of Compliance Inspections and Examinations, or OCIE, has launched a multi-year Retirement-Targeted Industry Reviews and Examinations (ReTIRE) Initiative. OCIE is focusing on retirement-based savings in...more

6/23/2015 - Broker-Dealer Conflicts of Interest Disclosure Requirements Examination Priorities Investment Adviser Investors Marketing Material Disclosures OCIE Retirement Plan SEC

Director Equity Grants Subject to Entire Fairness Review

In Valma v. Templeton et al, the Delaware Court of Chancery held that grants of restricted stock units, or RSUs, to directors of Citrix Systems, Inc. were subject to an entire fairness standard of review. The court found...more

5/1/2015 - Board of Directors Business Judgment Rule Compensation Committee Conflicts of Interest Equity Compensation Fairness Standard Restricted Stocks

SEC Issues Credit Rating Agency Independence Study – No Changes Necessary

The staff of the Office of Credit Ratings of the SEC has submitted a study under Section 939C of the Dodd-Frank Wall Street Reform and Consumer Protection Act to the Committee on Banking, Housing, and Urban Affairs of the...more

11/22/2013 - Conflicts of Interest Credit Ratings Dodd-Frank Rating Agencies SEC

SEC Enforcement Official Hints At Increased Actions Against Private Equity

Bruce Karpati, Chief, of the SEC Enforcement Division’s Asset Management Unit, recently gave his views on certain matters related to private equity....more

1/24/2013 - Conflicts of Interest Private Equity SEC

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