Stephen M. Quinlivan

Stephen M. Quinlivan

Stinson Leonard Street

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Proposed Judgment in Conflict Minerals Case

Pursuant to a court order, the parties to the conflict minerals case have filed a proposed judgment after they advised the court no further proceedings were necessary. The text of the proposed judgment is as follows...more

3/21/2017 - Conflict Mineral Rules Disclosure Requirements Dodd-Frank First Amendment SEC Summary Judgment

Justice Department Tells Court CFPB is Unconstitutional

The Department of Justice has filed an amicus brief in the case of PHH Corp. v. Consumer Financial Protection Bureau pending before the United States Court of Appeals for the District of Columbia Circuit and is scheduled for...more

3/20/2017 - Administrative Proceedings Amicus Briefs Banking Sector CFPB Constitutional Challenges Dodd-Frank DOJ En Banc Review PHH Corp. v CFPB Removal For-Cause RESPA Single Director Statutory Interpretation

Parties Request Judgment be Entered in Conflict Minerals Case

The conflict minerals case was remanded to the United Stated District Court for the District of Columbia for further proceedings. Judge Jackson ordered the parties to file a joint status report indicating whether any further...more

3/13/2017 - Appeals Conflict Mineral Rules Disclosure Requirements Dodd-Frank First Amendment Remand Resource Extraction SEC

SEC to Consider Requiring Inline XBRL Reporting and Comments on Disclosures in the Financial Services Industry

The SEC has issued a notice of a meeting to consider: Whether to propose amendments to rules and forms to require the use of the Inline XBRL format for the submission of operating company financial statement information...more

2/24/2017 - Comment Period Disclosure Requirements Dodd-Frank Financial Sector Financial Services Industry Financial Statements SEC XBRL Filing Requirements

Judge Orders Status Report in Conflict Minerals Case

The conflict minerals case was remanded to the United Stated District Court for the District of Columbia for further proceedings. Judge Jackson has ordered the parties to file a joint status report, on or before March 10,...more

2/16/2017 - Conflict Mineral Rules Disclosure Requirements Dodd-Frank First Amendment Manufacturers SEC

SEC to Reconsider Implementation of Pay Ratio Rule

Following on the heels of its announcement to reconsider implementation of the conflict minerals rule, SEC Acting Chairman Michael S. Piwowar has announced his intention to conduct a review of the Dodd-Frank pay ratio rule....more

2/7/2017 - Disclosure Requirements Dodd-Frank Executive Compensation Pay Ratio SEC

Executive Order on Dodd-Frank Rollback

President Trump has signed an executive order titled “Presidential Executive Order on Core Principles for Regulating the United States Financial System.“ The “Core Principles” are...more

2/6/2017 - Bailout Dodd-Frank Economic Development Executive Orders Financial Markets Financial Sector Regulatory Oversight Trump Administration Wall Street

SEC Resource Extraction Rule to be Eliminated Under Congressional Review Act

As we previously noted, the House was set to vote on the disapproval of the SEC Resource Extraction Rule under the Congressional Review Act. The joint resolution passed the House by a vote of 235 in favor and 187 against. ...more

2/3/2017 - Administrative Procedure Act Disclosure Requirements Dodd-Frank Minerals Natural Resources Oil & Gas Resource Extraction SEC

SEC Reconsidering Conflict Minerals Implementation

SEC Acting Chairman Michael S. Piwowar issued a “Statement on the Commission’s Conflict Minerals Rule” and another statement titled “Reconsideration of Conflict Minerals Rule Implementation.” Chairman Piwowar reviewed...more

2/1/2017 - Comment Period Conflict Mineral Rules Democratic Republic of Congo Disclosure Requirements Dodd-Frank First Amendment Mining National Security SEC

House Seeking to Disapprove the Resource Extraction Rule

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 resolution is provided for under the Congressional Review Act...more

1/31/2017 - Capital Markets Congressional Review Act Dodd-Frank Mineral Extraction Minerals Resource Extraction SEC U.S. House

SEC Finds Pre-IPO Transactions Were Unlawful Security-Based Swaps

The SEC announced that Equidate Inc. agreed to settle charges that it violated federal securities laws by failing to register security-based swaps that were offered and sold online to shareholders in pre-IPO companies....more

12/7/2016 - Commodities Exchange Act Dodd-Frank Financial Markets Financial Sector Registration Requirement Registration Statement SEC Securities Violations Security-Based Swaps Swaps

Repeal Dodd-Frank in a Spending Bill?

Something must be afoot inside the Beltway, because Sen. Sherrod Brown (D-OH) and Rep. Maxine Waters (D-CA) sent a letter to Senate and House leaders stating they will oppose ideological policy riders to year-end funding...more

11/18/2016 - CFPB Dodd-Frank Financial Institutions Financial Sector FSOC Funding

A Window into Trump’s SEC?

Insights into an SEC composed of Trump appointees can be gleaned from Financial Services Committee Chairman Jeb Hensarling’s (R-TX) opening statements at a committee hearing on SEC oversight, with testimony by outgoing SEC...more

11/16/2016 - Administrative Appointments Capital Formation Crowdfunding Disclosure Requirements Dodd-Frank Financial Sector Financial Services Industry Fixing America’s Surface Transportation Act (FAST Act) JOBS Act Mutual Funds Presidential Elections SEC Small Business Startups Trump Administration

Trump and the Repeal of Dodd-Frank

Observers widely believe President-Elect Trump will attempt to dismantle much of the Dodd-Frank Act. While to many it is an interesting idea, it may not have the consequences many believe. Take, for instance, the...more

11/11/2016 - Clawbacks Conflict Mineral Rules Dodd-Frank Executive Compensation ISS Presidential Elections Presidential Nominations Rule 14a-8 Say-on-Pay SEC Supply Chain Trump Administration Universal Proxy Cards

SEC Exams Looking for Whistleblower Violations

SEC staff in the Office of Compliance Inspections and Examinations are examining compliance with key whistleblower provisions arising out of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The staff is...more

10/25/2016 - Broker-Dealer Confidentiality Agreements Dodd-Frank Enforcement Actions Financial Sector Investment Adviser Rule 21F SEC Securities Violations Whistleblowers

SEC Publishes FAQs on Pay Ratio Rule

The SEC has published five FAQs on its pay ratio rule – see new questions 128C.01 to 128C.05. As we noted in our checklist of preliminary planning matters for the upcoming proxy season, the pay ratio disclosure need not be...more

10/19/2016 - CDIs Dodd-Frank Executive Compensation Pay Ratio Proxy Season Proxy Statements Reporting Requirements SEC

SEC Brings Second Whistleblower Retaliation Case

The SEC has brought its second case for retaliation against a whistleblower against International Game Technology. According to the SEC, the whistleblower, a director of an IGT division, started working at IGT in 2008 and...more

9/30/2016 - Cease and Desist Dodd-Frank Enforcement Actions Penalties Retaliation SEC Securities Exchange Act Whistleblower Protection Policies Whistleblowers

OSHA Addresses Sarbanes-Oxley Whistleblower Releases

We have written about SEC enforcement actions related to severance and confidentiality agreements that restrict reporting matters to the SEC. OSHA has also issued guidance regarding settlement agreements with whistleblowers...more

9/26/2016 - Confidentiality Agreements Dodd-Frank OSHA Protected Activity Sarbanes-Oxley SEC Severance Agreements Whistleblowers

CFTC Chief Supports Extension of Swap Dealer De Minimis Exemption

Under current CFTC rules, market participants who exceed $8 billion in gross notional swap dealing activity over a twelve-month period are required to register with the CFTC as swap dealers during the phase-in period...more

9/19/2016 - CFTC De Minimus Quantity Exemption Dodd-Frank Financial Sector Registration Requirement Swap Dealers Swap Market Swaps Threshold Requirements Time Extensions

Common Deficiencies Noted in Exams of Minnesota Registered Investment Advisers

The Minnesota Department of Commerce recently conducted a series of routine exams of investment adviser firms registered in Minnesota to analyze their compliance with certain regulations applicable to investment advisers. ...more

9/8/2016 - Dodd-Frank Fees Financial Sector Form ADV Industry Examinations Investment Adviser Investment Funds Invoices Registration Requirement Securities

SEC Requests Comment on Corporate Governance, Management and Security Holder Matters

The SEC is requesting public comment on certain disclosure requirements in Regulation S-K relating to management, certain security holders, and corporate governance matters contained in Subpart 400. This request is part of...more

8/29/2016 - Corporate Governance Disclosure Requirements Dodd-Frank Executive Compensation Fixing America’s Surface Transportation Act (FAST Act) Regulation S-K SEC

First Inline XBRL Filing Made with SEC

Lennar Corporation became the first to make a filing using the SEC’s newly permitted Inline XBRL format in this Form 10-Q. The SEC permitted use of the new format in an order dated June 13, 2016. Inline XBRL requires...more

7/13/2016 - Disclosure Requirements Dodd-Frank Form 10-Q Publicly-Traded Companies SEC XBRL Filing Requirements

Typical SEC Comments on Merger Proxy Statements

A review of recent SEC comments on merger proxy statements indicates many of these comments were typical, and some are variations on a theme: Rule 14a-6(a) requires that the form of proxy be on file for ten calendar...more

7/11/2016 - Disclosure Requirements Dodd-Frank Mergers Proxy Statements Publicly-Traded Companies SEC Shareholders

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