Stinson Leonard Street - Dodd-Frank and the Jobs Act

CFPB Releases Monthly Consumer Complaint Report for October 2015

On November 24, 2015, the Consumer Financial Protection Bureau (CFPB) released its latest Monthly Complaint Report for October 2015, which provides an overview of three-month trends in consumer complaints. This Monthly Report…more
| Consumer Protection, Finance & Banking

ISS Updates Equity Plan Scorecard and Governance QuickScore

ISS has issued a series of 26 FAQs on its Equity Plan Scorecard, or EPSC. The basic EPSC policy has not changed, but effective for meetings as of Feb. 1, 2016, the FAQs state the following adjustments will apply to EPSC…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

SEC Preparing to Move Forward on Accredited Investor Definition

SEC Chair Mary Jo White gave testimony before the House of Representatives Committee on Financial Services. Ms. White stated the staff is “engaged in a comprehensive review of the “accredited investor” definition. That review…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

SEC Publishes 2015 Whistleblower Report

The SEC published its 2015 Annual Report on the Dodd-Frank Whistleblower Program. The report indicates the SEC received 3,923 tips in fiscal year 2015, compared to 3,620 tips in fiscal year 2014. From fiscal year 2012, the…more
| Civil Rights, Commercial Law & Contracts, Labor & Employment Law, Securities Law

CFPB Takes Action Against Online Lender Integrity Advance, LLC

On November 18, 2015, the Consumer Financial Protection Bureau (“CFPB”) announced that it initiated an administrative proceeding against online lender Integrity Advance, LLC, and its CEO, for allegedly deceiving consumers about…more
| Communications & Media Law, Consumer Protection, Finance & Banking

SEC Qualifies Largest Crowdfunding Offering Ever; Offered On StartEngine

The SEC has qualified the Regulation A+ offering of Elio Motors which plans to make small cars costing about $7,000. Elio plans a maximum offering size of $25 million. The offering is being made through the facilities of…more
| Commercial Law & Contracts, Communications & Media Law, Finance & Banking, Securities Law

“Recidivist” Custody Rule Violators Settle SEC Charges

The SEC announced that an investment advisory firm, two owners, and a former chief compliance officer have agreed to settle charges that the firm again violated the custody rule after being reprimanded for violations only a few…more
| Commercial Law & Contracts, Securities Law

ISS Issues 2016 Policy Updates

ISS has issued the following policy updates for 2016. Overboarding - Current ISS policy considers a director “overboarded” if he or she sits on more than six public company boards – or if he or she is also a CEO, more…more
| Commercial Law & Contracts, Securities Law

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 required…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

How Many Regulation A+ Offerings Has the SEC Qualified?

Registered statements are “declared effective” by the SEC; Regulation A+ offering documents are “qualified” by the SEC, and when it happens an EDGAR document called “QUALIF” is generated. Per my review, the following Regulation…more
| Commercial Law & Contracts, Securities Law

SEC Says Self-Reporting Required for Deferred Prosecution or Non-Prosecution Agreement

At a recent conference focused on FCPA matters, Andrew Ceresney, Director, SEC Division of Enforcement, focused on the benefits of self-reporting and cooperating with the SEC on FCPA matters. Mr. Ceresney noted that the…more
| Commercial Law & Contracts, Securities Law

SEC Updates EDGAR to Accommodate Regulation Crowdfunding

The SEC has released an updated draft EDGAR filer manual. According to the draft manual, EDGAR will be updated to include the following new submission form types required by Regulation Crowdfunding..…more
| Commercial Law & Contracts, Communications & Media Law, Finance & Banking, Securities Law

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 by…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

SEC Finalizes Regulation Crowdfunding – Additional Funding Portal Requirements

The United States Securities and Exchange Commission has issued final rules on Regulation Crowdfunding. This post analyzes the “Additional Funding Portal Requirements” and “Miscellaneous” sections of the SEC’s adopting release…more
| Commercial Law & Contracts, Communications & Media Law, Finance & Banking, Securities Law

MSRB Considering T+2 for Munis

The Municipal Securities Rulemaking Board, or MSRB, is seeking public comment on a proposal to facilitate shortening the settlement cycle for transactions in municipal securities in response to a securities industry-led…more
| Commercial Law & Contracts, Finance & Banking, Securities Law
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150 South Fifth Street Suite 2300
Minneapolis, MN 55402, United States

Contact: Steve Quinlivan

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