Stephen M. Quinlivan

Stephen M. Quinlivan

Stinson Leonard Street

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SEC and PCAOB Collar 15 For Independence Violations in Audits of Broker-Dealers

The SEC and PCAOB collectively charged 15 audit firms for violating independence requirements in connection with audits of broker dealers. Under SEC independence rules, which apply to audits of broker-dealers whether or not...more

12/9/2014 - Auditors Broker-Dealer Financial Statements Independence Rules PCAOB SEC

A Checklist To Comply With The New NYSE Compensation Committee Independence Rules

The SEC has approved the NYSE’s compensation committee independence rules. By July 1, 2013, most listed issuers must comply with the following...more

1/17/2013 - Compensation Committee Directors Executive Compensation Independence Rules NYSE

A Checklist To Comply With The New Nasdaq Compensation Committee Independence Rules

The SEC has approved Nasdaq’s compensation committee independence rules. By July 1, 2013, most listed issuers must comply with the following...more

1/17/2013 - Compensation Committee Directors Independence Rules Nasdaq

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