Stephen M. Quinlivan

Stephen M. Quinlivan

Stinson Leonard Street

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SEC Issues Interpretive Guidance On Municipal Advisor Registration Rules

The SEC Office of Municipal Securities has issued interpretive guidance to address questions from market participants regarding the implementation of new final SEC rules requiring municipal advisors to register with the...more

1/13/2014 - Dodd-Frank Financial Regulatory Reform Municipal Securities Market Municipalities SEC

SEC Removes References To NRSRO Ratings In Certain Rules And Forms

The SEC has adopted amendments to eliminate references in certain of its rules and forms to credit ratings by nationally recognized statistical rating organizations, or NRSROs. The changes were required by the...more

1/7/2014 - Credit Ratings Dodd-Frank NRSRO SEC Securities Exchange Act

Summary Of Proposed Amendments To Regulation A

On December 18, 2013, the SEC published its proposal to modify Regulation A. The SEC is proposing to expand Regulation A into two tiers: Tier 1, for offerings of up to $5 million; and Tier 2, for offerings of up to $50...more

12/31/2013 - Debt Securities Dodd-Frank Eligibility Equity Securities Exemptions Offerings Private Equity Private Offerings Regulation A Reporting Requirements SEC Startups

Government Watch Dogs Disagree On Analysis Associated With Dodd-Frank Rulemaking

The Dodd-Frank Act requires or authorizes various federal agencies to issue hundreds of rules to implement reforms intended to strengthen the financial services industry. As amended by Public Law No. 112-10, the act also...more

12/16/2013 - Dodd-Frank GAO OMB

Volker Rule Has Vague Guidance About Prohibited Compensation

The so-called Volker Rule, as required to be implemented by the Dodd-Frank Act, generally prohibits any banking entity from engaging in proprietary trading. The final rule has been adopted by the Office of the Comptroller of...more

12/11/2013 - Compensation & Benefits Dodd-Frank Exemptions FDIC Federal Reserve OCC SEC Volcker Rule

Whistleblowers Can Now File Complaints Online With OSHA

Whistleblowers covered by one of 22 statutes (including Sarbanes-Oxley and Dodd-Frank) administered by the U.S. Department of Labor’s Occupational Safety and Health Administration will now be able to file complaints online. ...more

12/6/2013 - Dodd-Frank DOL OSHA Sarbanes-Oxley Whistleblowers

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

Representatives Object To Exemption From Resource Extraction Rule Disclosures

Congress is working to reconcile differing versions of legislation to implement an Obama Administration deal with Mexico to develop oil and gas resources in the Gulf of Mexico. Three Democratic lawmakers recently wrote...more

11/20/2013 - Dodd-Frank Energy Exploration Natural Resources Oil & Gas Resource Extraction SEC

Whistleblower Not Entitled To Jury Trial

In Pruett v BlueLinx Holdings, Inc., decided by the United States District Court for the Northern District of Georgia (1:13-cv-02607), the court held that a whistleblower suing under Dodd-Frank’s non-retaliation provisions...more

11/14/2013 - Anti-Retaliation Provisions Dodd-Frank Jury Trial Whistleblowers

Office Of Financial Research Studies Systematic Risk Of Asset Managers

The Financial Stability Oversight Council, or FSOC, decided to study the activities of asset management firms to better inform its analysis of whether—and how—to consider such firms for enhanced prudential standards and...more

10/1/2013 - Asset Management Dodd-Frank FSOC SEC

General Solicitation – Week One – Flying Cars And More

It began with announcements like this from AngelList. For just $99 plus $25 per investment, wefunder will let you create a create a “beautiful profile” and send updates to followers, and provide free investment contracts,...more

9/26/2013 - Advertising Bad Actors Crowdfunding Dodd-Frank General Solicitation JOBS Act Regulation D SEC

Pay Ratio Disclosures Made Simple

The SEC has proposed rules related to pay ratio disclosures required by Section 953(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act. It works like this... ...more

9/19/2013 - Disclosure Requirements Dodd-Frank Pay Ratio Ratio SEC Wages

Current SEC Priorities Regarding Hedge Fund Managers

Norm Champ, the SEC’s Director of the Division of Investment Management, recently gave a speech addressing the SEC’s priorities regarding hedge fund managers. ...more

9/13/2013 - Dodd-Frank Hedge Funds Investment Management OCIE Rule 506 Offerings SEC

SDRs Announce Procedures To Elect Swap End-User Exception

Three swap data repositories, or SDRs, have announced procedures to make filings for the swap end-user exception. Apparently you file with the SDR that the swap is reported to. The three SDRs are...more

9/2/2013 - Dodd-Frank ICE Swaps

Regulators Propose New Risk Retention Rule

Six federal agencies have issued a notice revising a proposed rule requiring sponsors of securitization transactions to retain risk in those transactions. The new proposal revises a proposed rule the agencies issued in 2011...more

8/29/2013 - Dodd-Frank Proposed Regulation Risk Retention

SEC Charges Private Equity Fund Manager With Misleading Investors About Valuation And Performance

The SEC has charged a former portfolio manager at Oppenheimer & Co. with misleading investors about the valuation and performance of a fund consisting of other private equity funds. ...more

8/21/2013 - Dodd-Frank Enforcement Actions Fund Managers Oppenheimer & Co. Private Equity Funds SEC

Agencies Seek Comment On Dodd-Frank Act Stress Test Guidance For Medium-Sized Firms

Three federal bank regulatory agencies are seeking comment on proposed guidance describing supervisory expectations for stress tests conducted by financial companies with total consolidated assets between $10 billion and $50...more

7/31/2013 - Dodd-Frank JOBS Act Proposed Regulation Stress Tests Supervision

Lawmakers Claim SEC Proposals Are Contrary To JOBS Act

The SEC recently issued proposals related to Regulation D which, among other things, require a Form D to be filed fifteen days before a general solicitation under Rule 506(c) can commence....more

7/30/2013 - Accredited Investors Dodd-Frank Funding General Solicitation JOBS Act Regulation D SEC Securities Startups

Law Firm Verification Of Accredited Investor Status

The SEC suggests in its final rules eliminating the ban on general solicitation that law firms may be in a position to verify accredited investor status for issuers conducting Rule 506(c) offerings. ...more

7/26/2013 - Accredited Investors Advertising Dodd-Frank Final Rules General Solicitation Marketing Regulation D Rule 144A Rule 506 Offerings SEC Verification Requirements

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

Courts Begin To Split On Whistleblower Protection

The Fifth Circuit has held in Asadi v. G.E. Energy (USA), LLC that a whistleblower must provide information to the SEC in order to be protected by the Dodd-Frank anti-retaliation provisions. ...more

7/22/2013 - Anti-Retaliation Provisions Dodd-Frank SEC Whistleblower Protection Policies Whistleblowers

Final SEC Rule Disqualifying Bad Actors From Rule 506 Offerings

The SEC has adopted final rules to implement Section 926 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Section 926 required the SEC to adopt rules that disqualify securities offerings involving certain...more

7/15/2013 - Anti-Corruption Bad Actors Convictions Dodd-Frank Felonies Fraud Regulation D Rule 506 Offerings SEC Section 926

General Solicitation Under The Final JOBS Act Rules

The SEC has adopted final rules eliminating the ban on general solicitation and advertising in Rule 506 offerings. The changes are mostly embodied in new Rule 506(c)....more

7/12/2013 - Accredited Investors Advertising Dodd-Frank General Solicitation JOBS Act Regulation D Rule 506 Offerings SEC

SEC Denies Another Whistleblower Claim

The SEC has denied granting an award to another whistleblower in the second action of this year....more

7/5/2013 - Dodd-Frank SEC Whistleblowers

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