Stephen M. Quinlivan

Stephen M. Quinlivan

Stinson Leonard Street

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Legislation Amending Volcker Rule Passes in House

The Investor Clarity and Bank Parity Act (HR 4096) passed in the U.S. House of Representatives. The Volcker Rule adopted by the regulators limited the ability of bank holding companies and their affiliates, including...more

4/28/2016 - Banks Covered Funds Dodd-Frank Investment Adviser Proposed Legislation Volcker Rule

OFR Analyzes Changes in Regulatory Use of Credit Ratings Since Dodd-Frank

Treasury’s Office of Financial Research has released a brief entitled “Credit Ratings in Financial Regulation: What’s Changed Since the Dodd-Frank Act?” The introductory statement notes “The use of credit ratings in financial...more

4/25/2016 - Banking Sector Credit Ratings Dodd-Frank OFR U.S. Treasury

New Proposed Rules on Banker Incentive Compensation Released

The National Credit Union Administration, or NCUA, became the first of six Agencies to unveil a revised rule proposal under Section 956 of the Dodd-Frank Act: prohibiting incentive-based payment arrangements that the...more

4/22/2016 - Banks Clawbacks Corporate Governance Disclosure Requirements Dodd-Frank FDIC FHFA Gramm-Leach-Blilely Act Incentive Compensation NCUA OCC Policies and Procedures Recordkeeping Requirements Risk Management SEC

Internal Pay Equity Disclosures: Ratio of CEO Pay to Other NEOs

Many are aware of the Dodd-Frank requirement to disclose the ratio of the median employee’s annual total compensation to the total annual compensation of the principal executive officer. We have published some examples of...more

4/18/2016 - CEOs Disclosure Requirements Dodd-Frank Executive Compensation Median Employee Pay Ratio

Pay Ratio Disclosures Begin to Appear in Proxy Statements

Some companies have begun to disclose pay ratios in their proxy statements in advance of the SEC requirement. We have included a sample below. Of course, you’ll want to compare the samples to the rules before relying on them....more

4/11/2016 - CEOs Disclosure Requirements Dodd-Frank Executive Compensation Median Employee Pay Ratio Proxy Statements SEC

GAO Says Financial Regulatory Structure is Fragmented and Inefficient

A GAO study found the U.S. financial regulatory structure is complex, with responsibilities fragmented among multiple agencies that have overlapping authorities. As a result, financial entities may fall under the regulatory...more

3/30/2016 - Dodd-Frank Financial Sector FSOC GAO Regulatory Oversight

Challenge to Risk Retention Rules Sent to District Court

The Dodd-Frank Act requires “securitizers” to retain at least five percent of the underlying credit risk. The Loan Syndications and Trading Association, or LSTA, challenged several aspects of the related rules jointly...more

3/21/2016 - Dodd-Frank Risk Retention Securities Exchange Act Securitization Market

CFTC Provides Delivery Method for Volcker Rule CEO Attestation

The Division of Swap Dealer and Intermediary Oversight of the Commodity Futures Trading Commission, or CFTC, announced that certain banking entities subject to Appendix B of Part 75 of the Commission’s regulations should...more

3/16/2016 - Attestation Deadlines Banks CFTC Dodd-Frank Volcker Rule

SEC Brings First Ever Charges Against Municipal Advisors

The SEC charged Kansas-based Central States Capital Markets, its CEO, and two employees for breaching their fiduciary duty by failing to disclose a conflict of interest to a municipal client. The case is the SEC’s first to...more

3/15/2016 - Breach of Duty Conflicts of Interest Dodd-Frank Enforcement Actions Fiduciary Duty MSRB Municipal Advisers SEC

Court Tosses Dodd-Frank Retaliation Claim – No Proof of Whistleblowing or Retaliation

In Yang v. Navigators Group, Inc., the Southern District of New York granted summary judgment for the defendant on a dual pronged complaint claiming unlawful retaliation under the Sarbanes-Oxley Act and the Dodd-Frank Act. ...more

1/7/2016 - Dodd-Frank Retaliation Sarbanes-Oxley SEC Summary Judgment Whistleblower Protection Policies

GAO Report Addresses Impact of Dodd-Frank on Community Banks, Credit Unions and Systemically Important Institutions

The Government Accountability Office, or GAO, has released an annual report required by the Dodd-Frank Act. GAO interviewed community banks, credit unions, and industry associations. Those interviewed cited an increase in...more

12/31/2015 - Annual Reports Community Banks Credit Unions Dodd-Frank Financial Institutions GAO

SEC Issues Staff Report on Accredited Investor Definition

The SEC issued a staff report on the accredited investor definition. The Dodd-Frank Wall Street Reform and Consumer Protection Act directs the Commission to review the accredited investor definition as it relates to natural...more

12/18/2015 - Accredited Investors Dodd-Frank SEC

SEC Proposes New Resource Extraction Rule

The SEC has proposed Rule 13q-1 and an amendment to Form SD to implement Section 1504 of the Dodd-Frank Wall Street Reform and Consumer Protection Act relating to disclosure of payments by resource extraction issuers. Rule...more

12/14/2015 - Disclosure Requirements Dodd-Frank Oil & Gas Resource Extraction SEC

FAST Act Fixes Dodd-Frank Swap Glitch

Although primarily a transportation bill, the FAST Act contains other provisions, including provisions simplifying securities laws and another provision fixing the Dodd-Frank Act. As describe by CFTC Commissioner J....more

12/8/2015 - Data-Sharing Dodd-Frank Fixing America’s Surface Transportation Act (FAST Act) Indemnification Clauses Swaps Written Agreements

Fed Issues Final Rules on Emergency Lending

The Federal Reserve Board approved a final rule specifying its procedures for emergency lending under Section 13(3) of the Federal Reserve Act. Since the passage of the Dodd-Frank Act in 2010, the Board’s authority to engage...more

11/30/2015 - Dodd-Frank Federal Reserve Lending

CFTC Report Indicates CFTC Botched Swap Dealer De Minimis Exemption

CFTC staff issued a preliminary report regarding the swap dealer de minimis exception. Under CFTC rules, market participants who exceed $8 billion in gross notional swap dealing activity over a twelve-month period are...more

11/19/2015 - CFTC De Minimus Quantity Exemption Dodd-Frank Financial Markets Swap Dealers

MSRB Publishes Compliance Advisory for Municipal Advisors

The Municipal Securities Rulemaking Board, or MSRB, published its first Compliance Advisory for Municipal Advisors, developed to assist municipal advisors with understanding and implementing the regulatory framework created...more

11/16/2015 - Compliance Dodd-Frank Financial Markets MSRB Municipal Advisers

En Banc Rehearing of Conflict Minerals Case Denied

The United States Court of Appeals for the District of Columbia Circuit has denied the petitions of the SEC and Amnesty International for an en banc rehearing of the decision in the conflict minerals case. ...more

11/10/2015 - Amnesty International Conflict Mineral Rules Dodd-Frank En Banc Review SEC

SEC Says there are (Almost) No Excuses for Late Whistleblowers

The SEC announced a whistleblower award totaling more than $325,000 for a former investment firm employee who tipped the agency with specific information that enabled enforcement staff to open an investigation and uncover the...more

11/5/2015 - CFPA Dodd-Frank Fraud Reporting Requirements Rule 21F SEC Whistleblower Awards Whistleblowers

Banking Regulators Adopt End-User Exemption for Swap Margin Requirements

New Margin Requirements - The Board of Directors of the Federal Deposit Insurance Corporation approved a final rule to establish margin requirements for swaps that are not cleared through a clearinghouse. This action is...more

10/23/2015 - Banking Sector Banks CFTC Commodities Exchange Act Compliance Dodd-Frank Farm Credit Administration FDIC Federal Reserve FHFA Financial Institutions Financial Markets Hedge Funds Margin Requirements Obama Administration OCC Regulatory Agenda Risk Mitigation SEC Securities Exchange Act Swap Dealers Swaps Terrorism Insurance

Court Says There is no Private Cause of Action to Create an SEC Whistleblower Award

AgFeed Industries, Inc.’s accounting irregularities culminated in a March 2014 enforcement action brought against AgFeed by the SEC. The enforcement action yielded an $18 million disgorgement penalty, referred to as the...more

9/30/2015 - Cause of Action Accrual Commercial Bankruptcy Disgorgement Dodd-Frank Enforcement Actions Reorganizations SEC Whistleblower Awards Whistleblowers

2nd Circuit Says Whistleblowers Don’t Have to Report to the SEC

In Berman v. NEO@OGILVY LLC, the Second Circuit held that a whistleblower does not have to report to the SEC to be afforded the anti-retaliation protections of the Dodd-Frank Act. The court discussed that legislative history...more

9/14/2015 - Anti-Retaliation Provisions Chevron Deference Dodd-Frank Reporting Requirements Retaliation SEC Whistleblowers

Court Orders SEC to Implement Resource Extraction Rule

To review: On July 2, 2013, the United States District Court for the District of Columbia vacated the SEC’s resource extraction rules which were mandated by the Dodd-Frank Act. Oxfam America then brought a suit against the...more

9/3/2015 - Administrative Procedure Act Compliance Disclosure Requirements Dodd-Frank Natural Resources Resource Extraction SEC

SEC Adopts Final Pay Ratio Rule

The SEC has adopted a final “pay ratio” rule required by Section 953(b) of the Dodd Frank Act. In general, the “pay ratio” rule requires public companies to disclose the median of the annual total compensation of all...more

8/10/2015 - Compliance Disclosure Requirements Dodd-Frank Emerging Growth Companies Executive Compensation Final Rules Foreign Private Issuers Form 10-K Item 402 Pay Ratio Proxy Statements Regulation S-K SEC

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