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Stephen M. Quinlivan

Stephen M. Quinlivan

Leonard, Street and Deinard


Latest Posts › Dodd-Frank

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New Study On Impact Of Dodd-Frank On Community Banks

A new study sponsored by the American Enterprise Institute on the impact of Dodd-Frank on community banks has been published. The study notes...more

5/8/2013 - Community Banks Dodd-Frank

Who Is Too Big To Fail? FDIC Doesn’t Answer Question

James R. Wigand, Director, Office Of Complex Financial Institutions and Richard J. Osterman, Jr., Acting General Counsel, of the FDIC testified before the Subcommittee on Oversight and Investigations; Committee on Financial...more

4/17/2013 - Dodd-Frank FDIC Stress Tests Testimony

CFTC Commissioners Bicker About Budget And Performance Report

There continues to be significant public discord amongst the Commissioners at the CFTC. According to Commissioner Scott O’Malia “Given the vast deficit spending challenges this country is facing, I do not believe it is...more

4/15/2013 - CFTC Dodd-Frank Federal Budget Spending Cuts

Fed Approves Rule Defining When A Company Is “Predominantly Engaged In Financial Activities”

The Federal Reserve Board has approved a final rule that establishes the requirements for determining when a company is “predominantly engaged in financial activities.” The requirements will be used by the Financial Stability...more

4/8/2013 - Bank Holding Company Dodd-Frank Federal Reserve Final Rules Financial Actvities FSOC Nonbank Firms

SEC Exempts Another Crowd Funding Site From Broker-Dealer Rules

The SEC has granted AngelList relief on accepting transaction based compensation for crowd funding, exempting it from the broker-dealer rules. A couple days ago, the SEC granted relief to thefundersclub.com. Makes you kind...more

4/1/2013 - Broker-Dealer Crowdfunding Dodd-Frank FINRA General Solicitation Investment Adviser SEC

CFTC Reminds All Swap Counterparties Of April 10 Deadline To Obtain A CICI Identifier

The Division of Market Oversight, or DMO, and Office of Data and Technology, or ODT of the CFTC have issued an advisory reminding all swap counterparties of the imminent April 10, 2013, deadline for each counterparty to...more

3/21/2013 - CFTC CICIs DMO Dodd-Frank ODT Swaps

CFPB Issues Final Rule On FOIA And Litigation Procedures

The CFPB has issued a final rule that establishes procedures for the public to obtain information from the Bureau of Consumer Financial Protection, under the Freedom of Information Act, the Privacy Act of 1974, and in legal...more

2/18/2013 - CFPB Confidential Information Dodd-Frank FOIA

Law Firm Disclosures Under Stock Exchange Compensation Committee Independence Requirements

The NYSE and Nasdaq have recently adopted rules which will require compensation committees to consider certain enumerated factors before selecting, or receiving advice from, a compensation consultant, legal counsel or other...more

1/30/2013 - Compensation Committee Dodd-Frank Nasdaq NYSE

Securities Law Essentials For Growing Companies

We recently gave a presentation at a CLE titled Securities Law Essentials for Growing Companies. The presentation included an overview of what constitutes a public offering, what is a security, classical private placements,...more

1/16/2013 - Broker-Dealer Dodd-Frank JOBS Act Private Placements Safe Harbors Securities

NYSE And Nasdaq Amend Compensation Committee Independence Proposals

Nasdaq has amended its proposal regarding independence of compensation committees required by the Dodd-Frank Act. Nasdaq proposes to clarify that a compensation committee is not required to conduct the independence...more

1/15/2013 - Compensation Committee Dodd-Frank Listing Standards Nasdaq NYSE

FINRA To Require BrokerCheck Link On Internet Advertising

Financial Industry Regulatory Authority, Inc., or FINRA, has filed a proposed rule change with the SEC to amend FINRA Rule 2267 (Investor Education and Protection) to require that FINRA members include a prominent...more

1/8/2013 - Advertising BrokerCheck Brokers Dodd-Frank FINRA Internet SEC Social Media

FTC Report On Interchange Fees Addresses Community Banks

The Dodd-Frank Wall Street Reform and Consumer Protection Act amended the Electronic Fund Transfer Act, or EFTA, to restrict interchange fees and to prohibit exclusive networks for debit card transactions. The Federal Trade...more

12/28/2012 - Debit and Credit Card Transactions Dodd-Frank EFTA Federal Reserve FTC

GAO Issues Report On Agencies’ Efforts To Analyze And Coordinate Their Rules

GAO is required to annually study financial services regulations. GAO has issued a report that examines: the regulatory analyses federal agencies performed for rules issued pursuant to the Dodd-Frank Act; how the...more

12/27/2012 - Dodd-Frank GAO

SEC Releases Study On Credit Ratings

The SEC has released the study on credit ratings required by Section 939F of the Dodd-Frank Act. Section 939F provides that, after submission of the report to Congress containing the findings of the study, the SEC shall, by...more

12/24/2012 - Credit Ratings Dodd-Frank SEC

Nasdaq Amends Compensation Committee Proposal

Nasdaq recently amended its rule proposal related to compensation committees required by the Dodd-Frank Act. While the substance of the proposal did not change too much, the transition requirements did, and became more...more

12/24/2012 - Board of Directors Compensation Committee Dodd-Frank Nasdaq

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