Stephen M. Quinlivan

Stephen M. Quinlivan

Stinson Leonard Street

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Regulation A+ Issuer Aims for NYSE MKT Listing

Myomo, Inc. has had an offering statement qualified by the SEC in which it discloses an intent to apply to list its common stock on the NYSE MKT LLC. The offering seeks to raise $15 million on a “best efforts” basis without...more

3/22/2017 - Capital Raising Common Stock Financial Markets Medical Devices NYSE Offering Statements Pharmaceutical Industry Publicly-Traded Companies Regulation A Robotics SEC Securities Exchange Act

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

Trump’s Budget Blueprint Sets Regulatory Posture

The Trump administration has published its budgetary Blueprint. The Blueprint notes the 2018 Budget is being unveiled sequentially in that the Blueprint provides details only on discretionary funding proposals. The full...more

3/17/2017 - Federal Budget Federal Funding Financial Sector Government Agencies Legislative Agendas Regulatory Reform Trump Administration

Legislative Proposal Addresses Use of Blockchain Technology by Delaware Corporations

The Corporate Council of The Corporation Law Section of the Delaware State Bar Association has prepared proposed amendments to the Delaware General Corporation Law to facilitate the use of block chain technology for...more

3/16/2017 - Blockchain Delaware General Corporation Law Distributed Ledger Financial Sector Proposed Legislation Stock Ownership Technology

Trump Executive Order Calls for Plan to Reorganize Executive Branch

President Trump has issued an Executive Order directing the Director of the Office of Management and Budget (Director) to propose a plan to reorganize governmental functions and eliminate unnecessary agencies (as defined in...more

3/14/2017 - Executive Orders Government Agencies OMB Trump Administration

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 Order Prevents Winklevoss Bitcoin Trust

The SEC declined to approve a rule change submitted by Bats BZX Exchange designed to permit the listing and trading the Winklevoss Bitcoin Trust. The SEC said it did not approve the proposed rule change because it did not...more

3/13/2017 - Bitcoin Digital Currency Exchange-Traded Products Financial Markets Financial Sector SEC Technology Trusts Virtual Currency

SEC Proposes to Require Use of Inline XBRL

In 2009 the SEC adopted rules requiring operating companies to provide the information from the financial statements accompanying their registration statements and periodic and current reports in machine-readable format using...more

3/7/2017 - Disclosure Requirements Emerging Growth Companies Financial Statements Foreign Private Issuers GAAP Mutual Funds Registration Statement Reporting Requirements SEC XBRL Filing Requirements

SEC Requires Hyperlinking of Exhibits

The SEC has adopted rules which will require public companies, or registrants, to include a hyperlink to each exhibit identified in an exhibit index, unless the exhibit is filed in paper pursuant to a temporary or continuing...more

3/6/2017 - EDGAR Hyperlink Publicly-Traded Companies Registration Statement Regulation S-K Regulation S-T Rule 105 SEC XBRL Filing Requirements

Recent Schedule 14N Filings

GAMCO Asset Management Inc. made the news when it became the first to submit a Schedule 14N announcing a nominee for National Fuel Gas’ board of directors using a proxy access by-law. The nomination was rejected by National...more

2/27/2017 - Board of Directors Bylaws Director Nominations Nominee Directors Proxy Access Schedule 14N

Trump Orders Agencies to Form Regulatory Reform Task Forces

President Trump has issued an Executive Order which requires the head of each agency to designate an agency official as its Regulatory Reform Officer, or RRO. Each RRO will oversee the implementation of regulatory reform...more

2/27/2017 - Executive Orders Regulatory Agencies Regulatory Oversight Regulatory Reform Task Force Trump Administration

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

OCIE Issues Alert on the Five Most Frequent Compliance Topics Identified in Examinations of Investment Advisers

The SEC’s Office of Compliance Inspections and Examinations, or OCIE, has published a list of the five compliance topics most frequently identified in deficiency letters that are sent to SEC-registered investment advisers....more

2/9/2017 - Books & Records Custody Rule Industry Examinations Investment Adviser Investment Advisers Act of 1940 OCIE SEC Strict Compliance

Trump’s 2 for 1 Regulatory Reduction Challenged in Court

President Donald Trump’s Executive Order requiring two regulations be repealed for every new one adopted and related OMB guidance have been challenged in a law suit commenced in the U.S. District Court for the District of...more

2/9/2017 - Administrative Procedure Act Executive Orders New Regulations NRDC OMB Public Citizen Regulatory Agencies Regulatory Oversight Regulatory Reform Repeal Trump Administration Two For One Rule

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

OMB Provides Guidance on Trump’s 2 for 1 Regulatory Cuts

OMB’s Office of Information and Regulatory Affairs has provided interim guidance on the requirements in Section 2, “Regulatory Cap for Fiscal Year 2017,” of the Executive Order of January 30, 2017, titled “Reducing Regulation...more

2/6/2017 - Executive Orders OMB Regulatory Agencies Regulatory Agenda Regulatory Oversight Regulatory Requirements Trump Administration

Trump Requires DOL to Reevaluate the Fiduciary Rule

Under current law, stockbrokers are only required to recommend suitable investments to their clients. The Department of Labor has issued a so called “fiduciary rule” which requires brokers, advisors and insurance agents, when...more

2/6/2017 - Best Interest Standard DOL Employee Benefits ERISA Fiduciary Duty Fiduciary Rule Financial Adviser Financial Sector Investment Adviser Popular Regulatory Oversight Retirement Retirement Plan Trump Administration

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

First Form AP Filed with the PCAOB

Grant Thornton LLP became the first registered public accounting firm to file a Form AP with the PCAOB. Form AP currently requires identification of the engagement audit partner associated with certain SEC filings and the...more

2/3/2017 - Accounting Accounting Controls Auditors Audits Filing Requirements Financial Sector PCAOB Required Forms 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

SEC Simplifies Filing of Broker-Dealer Annual Reports on EDGAR

The SEC has previously provided guidance on the filing of annual and supplemental reports required under Rule 17a-5 or Rule 17a-12 by broker-dealers or over-the-counter derivatives dealers on the SEC EDGAR system. However,...more

1/31/2017 - Annual Reports Broker-Dealer Derivatives EDGAR Filing Requirements Financial Markets Financial Sector FINRA No-Action Letters Reporting Requirements SEC

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